Director Broker Dealer Compliance
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Overview
Remote
On-site
Compensation
$150,000-$175,000/year
Job Description
The Compliance Director will play a key leadership role in overseeing regulatory and operational compliance program. Partnering closely with the CCO and business leaders, this individual will ensure adherence to SEC, Client, and MSRB requirements while supporting business growth in a complex regulatory environment.
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
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FAQs About Director Broker Dealer Compliance Jobs at Phaxis LLC
What is the work location for this position at Phaxis LLC?
This job at Phaxis LLC 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 LLC?
Candidates can expect a pay range of $150,000 and $175,000 per year.
What employment applies to this position at Phaxis LLC?
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 LLC?
You can apply for this role at Phaxis LLC 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.