More jobs:
Compliance Officer, Finance & Banking
Job in
New York City, Richmond County, New York, USA
Listed on 2026-01-28
Listing for:
Phaxis LLC
Full Time
position Listed on 2026-01-28
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Services, Risk Manager/Analyst, Financial Consultant
Job Description & How to Apply Below
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.
Qualifications
- 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, Fin Tech, 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
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