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Compliance Officer

1 month ago

New York, New York, United States Phaxis Full time
Phaxis is seeking a seasoned Compliance Officer to join our team in an advisory capacity to support our clearing and prime brokerage business.

Responsibilities include:

* Design and execute regulatory compliance testing of the clearing and prime brokerage business.
* Collaborate with the line of business supervision team to ensure all applicable rules and products are identified, and testing priorities can be evaluated and established while maintaining accuracy.
* Monitor compliance with SEC, client, and other applicable regulations, and stay up-to-date on changes in federal and state compliance laws and regulations impacting the group of assigned compliance focus area(s).
* Advise line of business supervision staff on emerging compliance issues and assist in developing policies and procedures and risk management analyses.

Requirements:

* Bachelor's Degree from an accredited university
* Extensive knowledge of correspondent clearing and prime services activities
* Working knowledge of institutional fixed income trading
* Series 7 and 24
* Understanding of client, SEC, and other regulatory requirements around activities, including Reg SHO, Reg NMS, Rule 605, Rule 606, SEC Rule 15c3-5, and TRACE trade reporting

Base salary - $185,000-$200,000 depending on experience