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Phaxis · 1 day ago

AVP, Regulatory Operations, Fixed income

New York, NY

Full-time

Hybrid

Senior Level

Phaxis is seeking an AVP for Regulatory Operations in Fixed Income, responsible for supporting fixed income transactional regulatory reporting obligations. The role includes monitoring reporting queues, investigating exceptions, and collaborating with various teams to ensure compliance with regulatory requirements.

DeliveryHuman ResourcesStaffing Agency

Responsibilities

Serve as a primary point of support for fixed income transactional regulatory reporting obligations, with a focus on TRACE reporting requirements

Monitor live reporting queues within Client reporting systems to identify rejects, late reports, and data inconsistencies

Investigate reporting exceptions by partnering with front office, middle office, operations, and technology teams to remediate issues in a timely manner

Perform daily reconciliations between internal trade records and regulatory submissions using exception management and surveillance tools

Identify root causes of reporting errors and recommend process or control enhancements to mitigate regulatory and operational risk

Execute and maintain appropriate governance and supervisory controls related to fixed income regulatory reporting

Support the implementation of new or enhanced regulatory reporting requirements, including participation in requirement analysis, testing, and validation

Assist Compliance in responding to regulatory inquiries from Client and the SEC related to fixed income trading activity

Provide accurate, complete, and timely regulatory data in response to ad hoc and formal regulatory requests

Collaborate cross-functionally with business, technology, and compliance partners to support new product initiatives and business growth

Qualification

Fixed income productsClient TRACE reportingRegulatory reporting platformsAnalytical skillsRegulatory exams supportExposure to regulatory regimesProblem-solving skillsCommunication skillsTeam collaboration

Required

Strong understanding of fixed income products, including corporate bonds, government securities, and other debt instruments

Hands-on experience with Client TRACE reporting, including exception management and correction submissions

Familiarity with fixed income trade lifecycles and post-trade processing

Experience using regulatory reporting platforms or exception management tools (vendor or proprietary)

Strong analytical and problem-solving skills with the ability to communicate issues clearly to stakeholders and management

Ability to work independently in a fast-paced regulatory environment while contributing effectively within a team

Preferred

Experience supporting regulatory exams, inquiries, or audits is a plus

Exposure to additional regulatory regimes (e.g., short interest, CFTC, or other fixed income reporting) is a plus

Company

Phaxis

Phaxis is one of the nation's leading recruiting and consulting firms.

Founded in 2002

New York, New York, USA

51-200 employees

http://phisearch.com

Funding

Current Stage

Growth Stage

Leadership Team

Seth Friedland

Co-Founder and CEO

Erik DiGiacomo

President

Company data provided by crunchbase