Phaxis · 1 week ago
Compliance Officer - Broker Dealer
New York, NY
Contract
Onsite
Senior Level
$60/hr - $70/hr
5+ years expPhaxis is seeking a Compliance Officer for their broker-dealer operations. The role involves enhancing the regulatory governance framework, managing compliance obligations, and collaborating with various teams to ensure adherence to regulatory requirements.
DeliveryHuman ResourcesStaffing Agency
Responsibilities
Managing the regulatory calendar and tracking obligations to ensure compliance with DEA, Client, and SEC requirements
Coordinating with the Exams and Inquiries team to handle regulatory requests, maintain evidence repositories, and manage remediation efforts
Overseeing the documentation lifecycle for membership applications and ensuring compliance with regulatory changes
Supporting the books-and-records framework by organizing documentation and establishing compliance oversight processes
Collaborating with the Compliance Testing team to identify testing opportunities and develop test designs to enhance regulatory risk management
Participating in governance meetings, contributing to training needs assessments, and supporting oversight and reporting of governance metrics
Qualification
Required
5-8 years of experience in U.S. broker-dealer compliance or related regulatory functions, with knowledge of SEC and Client requirements
Experience in managing regulatory programs across various departments such as Operations, Finance, and Technology
Familiarity with broker-dealer regulatory frameworks and practical application in finance and operations
Proficiency in managing regulatory documentation and workflows using tools like AuditBoard, SharePoint, and JIRA
Strong communication skills for drafting regulatory documents and engaging with stakeholders
Preferred
Client registrations (Series 7, 14, 24, or 27)
Company
Phaxis
Phaxis is one of the nation's leading recruiting and consulting firms.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Seth Friedland
Co-Founder and CEO
E
Erik DiGiacomo
President
Company data provided by crunchbase