Senior Compliance Officer - Trading and Markets
Phaxis
Growing clearing broker dealer is seeking an experienced Senior Compliance Officer to support the firm's compliance program across U.S. equities, listed options, futures, and electronic trading . This role partners closely with Trading, Operations, Risk, Technology, and senior management to ensure compliance with SEC, Client, CFTC, NFA, and exchange regulations while supporting new products and business initiatives. Key Responsibilities Provide compliance advisory support for equities, options, futures, electronic trading, stock loan, and clearing operations. Interpret and implement SEC, Client, CFTC, NFA, and exchange rules, including Reg NMS, Reg SHO, Reg ATS, and Rule 15c3-5. Advise on new products, trading strategies, market structure changes, and regulatory developments. Support trade surveillance, algorithmic trading governance, best execution, and market access controls. Partner with business, technology, and risk teams to enhance supervisory controls and compliance processes. Assist with regulatory examinations, audits, and policy development. Qualifications 7+ years of compliance experience with a broker-dealer, FCM, exchange, or regulatory organization. Strong knowledge of U.S. equities, listed options, futures, market structure, and electronic trading regulations. Experience with SEC, Client, CFTC, NFA, and exchange regulatory requirements. Familiarity with surveillance systems, best execution, market access controls, and clearing operations. #J-18808-Ljbffr Phaxis
Vacancy posted 4 days ago
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