$150,000–$175,000 Per Year
Brokerage, Business Operations, Financial Services, Futures, Global Financial Markets, Maintain Compliance, Policy Development, Procedure Development, Product Programs, Product Reviews, Regulations, Regulatory Compliance, Regulatory Submissions, Relationship Management, Risk, Securities and Exchange Commission (SEC), Swap Market
A global financial services firm is seeking a Senior Compliance Officer to provide real-time advisory support to its Futures Commission Merchant (FCM) business, including Introducing Brokers (IBs), Guaranteed Introducing Brokers (GIBs), and Swap Dealer activities. This role partners closely with front office teams, delivering practical, risk-based compliance guidance across trading and business operations.
Key Responsibilities
- Advise front office on day-to-day FCM compliance matters
- Act as a primary contact for regulatory inquiries and business questions
- Prepare and submit regulatory filings; manage regulator relationships and examinations
- Draft and enhance policies, procedures, and Written Supervisory Procedures (WSPs)
- Review new products and business initiatives to ensure compliance prior to launch
- Ensure adherence to SEC, Client, NFA, CFTC, and exchange requirements
- Support compliance calendar obligations and internal control framework
- Promote a strong culture of compliance and ethical conduct
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