Phaxis · 8 hours ago
Compliance Officer
New York, NY
Full-time
Hybrid
Entry, Mid Level
$125K/yr - $175K/yr
2+ years expPhaxis is a high frequency trading firm seeking a Compliance Surveillance Analyst to join their Compliance team. This role is instrumental in conducting trading and communication surveillance, investigating potential compliance issues, and collaborating with various teams to enhance surveillance processes.
DeliveryHuman ResourcesStaffing Agency
Responsibilities
Design and execute surveillance and supervisory reviews across a wide range of business activities and asset classes
Partner with the Compliance Inquiry team to investigate findings and coordinate follow-ups on potential regulatory or internal policy breaches
Collaborate with business, legal, and technology teams to escalate and remediate issues uncovered through surveillance
Lead and support initiatives focused on automation, analytics, and process optimization within compliance surveillance functions
Qualification
Preferred
Bachelor's Degree or equivalent professional experience in Finance, Business, Economics, or a related field preferred
2+ years of relevant experience in a financial services firm, FinTech, regulatory agency, or broker-dealer environment
Strong understanding of broker-dealer regulations, including SEC, Client, CFTC, and other SRO rules
Experience reviewing and analyzing trading activity in one or more asset classes such as equities, options, fixed income, FX, futures, commodities, swaps
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