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Futures Compliance Officer

Phaxis LLCNew York, NY

$150,000 - $175,000 / year

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Overview

Remote
On-site
Compensation
$150,000-$175,000/year

Job Description

Senior Compliance Officer 

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

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FAQs About Futures Compliance Officer 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.