Compliance Officer - Broker Dealer
PhaxisNew York, NY
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Job Description
Day-to-Day ResponsibilitiesThis role involves enhancing the regulatory governance framework for the firm's broker-dealer operations. Key responsibilities include:
- Managing the regulatory calendar and tracking obligations to ensure compliance with DEA, Client, and SEC requirements.
- Coordinating with the Exams and Inquiries team to handle regulatory requests, maintain evidence repositories, and manage remediation efforts.
- Overseeing the documentation lifecycle for membership applications and ensuring compliance with regulatory changes.
- Supporting the books-and-records framework by organizing documentation and establishing compliance oversight processes.
- Collaborating with the Compliance Testing team to identify testing opportunities and develop test designs to enhance regulatory risk management.
- Participating in governance meetings, contributing to training needs assessments, and supporting oversight and reporting of governance metrics.
- 5–8 years of experience in U.S. Broker-dealer compliance or related regulatory functions, with knowledge of SEC and Client requirements.
- Experience in managing regulatory programs across various departments such as Operations, Finance, and Technology.
- Familiarity with broker-dealer regulatory frameworks and practical application in finance and operations.
- Proficiency in managing regulatory documentation and workflows using tools like AuditBoard, SharePoint, and JIRA.
- Strong communication skills for drafting regulatory documents and engaging with stakeholders.
- Preferred, but not required, Client registrations (Series 7, 14, 24, or 27).
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FAQs About Compliance Officer - Broker Dealer Jobs at Phaxis
What is the work location for this position at Phaxis?
This job at Phaxis is located in New York, NY, according to the details provided by the employer. Some roles may also include multiple work locations depending on the requirement.
What pay range can candidates expect for this role at Phaxis?
Candidates can expect a pay range of $60.
What employment applies to this position at Phaxis?
The employer has not provided this information. This may be discussed during the hiring process.
What is the process to apply for this position at Phaxis?
You can apply for this role at Phaxis either through Sonara's automated application system, which helps you submit applications 10X faster with minimal effort, or by applying manually using the direct link on the job page.