$150,000–$175,000 Per Year
Brokerage, Business Growth, Business Support, Corrective Action, Leadership, Maintain Compliance, People Management, Product Strategy, Regulations, Root Cause Analysis, Securities Law, Securities and Exchange Commission (SEC), Series 7
Key Responsibilities
- Lead regulatory exams, inquiries, and interactions with the SEC, Client, and exchanges
- Oversee compliance with applicable broker-dealer regulations and securities laws
- Develop and maintain compliance policies, procedures, and supervisory frameworks
- Partner with business units to identify, assess, and remediate regulatory risks
- Provide guidance on regulatory matters, including new products and trading strategies
- Oversee trade reporting (TRACE, CAT/CAIS) and pre-trade compliance within the OMS
- Maintain supervisory programs in line with Client Rules 3110 and 3120
- Lead issue management, including root cause analysis and corrective actions
- Support strategic and ad hoc compliance initiatives
Education & Experience
- 10+ years of broker-dealer compliance experience
- Client Series 7 or 99 required
P
Phaxis LLC
We stand for PERSEVERANCE, as we refuse to quit when the journey gets tough. Your gold is our mission, and we search day and night to find it.
50 to 99 employees
Staffing/Employment Agencies