Senior Compliance Officer
Phaxis
Broker dealer client is seeking a Senior Compliance Officer to provide real-time compliance advisory support to our Futures Commission Merchant (FCM) business, along with affiliated Introducing Brokers (IBs), Guaranteed Introducing Brokers (GIBs), and Swap Dealers. Responsibilities Serve as the primary compliance advisor to front-office teams on day-to-day FCM business activities and questions Lead preparation and submission of regulatory filings; manage regulatory relationships and inquiries for the US FCM business line Draft, review, and enhance FCM Policies and Procedures and Written Supervisory Procedures Support Desk Heads on FCM-related compliance matters Review new business initiatives, products, and markets through the US FCM BCAC review process to confirm compliance prior to launch Track and meet Compliance Calendar deadlines in coordination with the broader team Ensure ongoing compliance with SEC, Client, NFA, CFTC, and applicable exchange requirements #J-18808-Ljbffr
Vacancy posted 4 hours ago
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