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Senior Compliance Officer

Phaxis LLCChicago, IL
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Overview

Remote
On-site

Job Description

Broker dealer client is seeking a Senior Compliance Officer to provide real-time compliance advisory support to our Futures Commission Merchant (FCM) business, along with affiliated Introducing Brokers (IBs), Guaranteed Introducing Brokers (GIBs), and Swap Dealers.

Responsibilities

  • Serve as the primary compliance advisor to front-office teams on day-to-day FCM business activities and questions
  • Lead preparation and submission of regulatory filings; manage regulatory relationships and inquiries for the US FCM business line
  • Draft, review, and enhance FCM Policies and Procedures and Written Supervisory Procedures
  • Support Desk Heads on FCM-related compliance matters
  • Review new business initiatives, products, and markets through the US FCM BCAC review process to confirm compliance prior to launch
  • Track and meet Compliance Calendar deadlines in coordination with the broader team
  • Ensure ongoing compliance with SEC, Client, NFA, CFTC, and applicable exchange requirements

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FAQs About Senior 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 Chicago, IL, 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?
Employer has not shared pay details for this role.
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.