Senior Compliance Specialist

Phaxis LLCChicago, IL

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Overview

Remote

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.

Responsibilities

" Maintain and update compliance manuals, policies, and supervisory procedures " Support compliance testing, monitoring, branch inspections, and internal audits " Research and communicate regulatory updates and industry changes " Assist with compliance training and promote a strong compliance culture " Track corrective actions and support resolution of compliance issues " Partner with internal teams on compliance projects and regulatory initiatives " Develop and enhance compliance controls and monitoring processes

Qualifications

" 5 10+ years of compliance experience within Financial Services or an Independent Broker/Dealer environment " Strong knowledge of Client and SEC regulations, including correspondent clearing and custody relationships " Excellent communication, analytical, and organizational skills " Ability to manage multiple priorities in a fast-paced environment " Bachelor's degree preferred in Finance, Business, or related field

Required Licenses

" SIE " Series 7 (8+ years required) " Series 63 or 66 " Series 24 (8+ years required)

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FAQs About Senior Compliance Specialist 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.

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