Head of Broker-Dealer Compliance
Phaxis LLC
Job Description
Job Description
Our client is seeking a senior Compliance professional to lead the Broker-Dealer Compliance function supporting U.S. trading and business activities. This individual will manage a team of Compliance professionals and act as a key advisor to the business across Equities, Fixed Income, and Listed Options .
The role is highly advisory and requires someone who can assess regulatory issues, identify risk, and provide practical guidance to senior business leaders in a fast-paced trading environment.
ResponsibilitiesManage and develop the U.S. Broker-Dealer Compliance team
Provide day-to-day regulatory guidance to trading and business teams
Support Equities, Fixed Income, Listed Options, and related activities
Oversee core Broker-Dealer compliance and regulatory programs
Partner with senior management on regulatory issues, business initiatives, and risk matters
Coordinate regulatory exams, inquiries, and internal compliance reviews
Review and update compliance policies, procedures, and supervisory documentation
Monitor regulatory developments and assess their impact on the business
10 years of Broker-Dealer Compliance experience
Strong knowledge of U.S. securities regulations and Broker-Dealer requirements
Experience supporting Equities, Fixed Income, and/or Listed Options
Prior experience managing or mentoring Compliance professionals
Strong understanding of trade-related compliance and regulatory reporting
Vacancy posted 8 days ago
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