Senior Compliance Officer - Asset Management
PhaxisNew York, NY
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Job Description
Growing Asset Management client is seeking a Senior Compliance Officer that will lead its trade compliance function and provide real-time advisory support to trading teams across products, strategies, and regions. Key Responsibilities:
- Lead day-to-day management of the trade compliance program.
- Provide on-desk advisory guidance on Rule 105 of Regulation M, Regulation SHO, cross trades, trade allocations, best execution, MNPI, and ERISA considerations.
- Oversee pre- and post-trade compliance controls and partner with technology to enhance automation and surveillance systems.
- Administer Wall Cross processes and trading restrictions.
- Investigate trade surveillance alerts and support regulatory inquiries and examinations, including those from the U.S. Securities and Exchange Commission and Commodity Futures Trading Commission.
- Execute compliance monitoring and testing initiatives to strengthen governance and controls.
- 6+ years of compliance experience at a registered investment adviser or similar firm.
- Strong trade compliance and surveillance expertise, including MNPI, Reg M Rule 105, Reg SHO, and market abuse concepts.
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FAQs About Senior Compliance Officer - Asset Management 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 $150,000.
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.