Compliance Officer
PhaxisNew York, NY
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Job Description
High frequency trading firm is seeking a Compliance Surveillance Analyst to join their Compliance team. This role is instrumental in conducting trading and communication surveillance, investigating potential compliance issues, and working with business and technology partners to drive enhancements in surveillance processes. The ideal candidate is analytical, self-driven, and eager to contribute to a fast-paced, collaborative environment. Responsibilities
- Design and execute surveillance and supervisory reviews across a wide range of business activities and asset classes.
- Partner with the Compliance Inquiry team to investigate findings and coordinate follow-ups on potential regulatory or internal policy breaches.
- Collaborate with business, legal, and technology teams to escalate and remediate issues uncovered through surveillance.
- Lead and support initiatives focused on automation, analytics, and process optimization within compliance surveillance functions.
- Bachelor's Degree or equivalent professional experience in Finance, Business, Economics, or a related field preferred.
- 2+ years of relevant experience in a financial services firm, FinTech, regulatory agency, or broker-dealer environment.
- Strong understanding of broker-dealer regulations, including SEC, Client, CFTC, and other SRO rules.
- Experience reviewing and analyzing trading activity in one or more asset classes such as equities, options, fixed income, FX, futures, commodities, swaps
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FAQs About Compliance Officer 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 $125,000.
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.