Senior Compliance Specialist

PhaxisChicago, IL

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Overview

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On-site

Job Description

A financial services enterprise that owns and operates a network of industry-leading firms that empower independent financial advisors is seeking a Senior Compliance Specialist to support and strengthen the firm's compliance program within a Broker-Dealer environment. This individual will help ensure adherence to Client and SEC regulations, maintain compliance policies and procedures, support regulatory examinations, and assist with firm-wide compliance initiatives. ResponsibilitiesMaintain and update compliance manuals, policies, and supervisory proceduresSupport compliance testing, monitoring, branch inspections, and internal auditsResearch and communicate regulatory updates and industry changesAssist with compliance training and promote a strong compliance cultureTrack corrective actions and support resolution of compliance issuesPartner with internal teams on compliance projects and regulatory initiativesDevelop and enhance compliance controls and monitoring processes Qualifications5 10+ years of compliance experience within Financial Services or an Independent Broker/Dealer environmentStrong knowledge of Client and SEC regulations, including correspondent clearing and custody relationshipsExcellent communication, analytical, and organizational skillsAbility to manage multiple priorities in a fast-paced environmentBachelor's degree preferred in Finance, Business, or related field Required LicensesSIESeries 7 (8+ years required)Series 63 or 66Series 24 (8+ years required)

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FAQs About Senior Compliance Specialist Jobs at Phaxis

What is the work location for this position at Phaxis?

This job at Phaxis 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?

Candidates can expect a pay range of $115,000.

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.