Broker Dealer Compliance Director
Phaxis, New York, NY, United States
The Compliance Director will play a key leadership role in overseeing regulatory and operational compliance program. Partnering closely with the CCO and business leaders, this individual will ensure adherence to SEC, Client, and MSRB requirements while supporting business growth in a complex regulatory environment.
Key Responsibilities
Lead regulatory exams, inquiries, and interactions with the SEC, Client, and exchanges
Oversee compliance with applicable broker-dealer regulations and securities laws
Develop and maintain compliance policies, procedures, and supervisory frameworks
Partner with business units to identify, assess, and remediate regulatory risks
Provide guidance on regulatory matters, including new products and trading strategies
Oversee trade reporting (TRACE, CAT/CAIS) and pre-trade compliance within the OMS
Maintain supervisory programs in line with Client Rules 3110 and 3120
Lead issue management, including root cause analysis and corrective actions
Support strategic and ad hoc compliance initiatives
Education & Experience
10+ years of broker-dealer compliance experience
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Key Responsibilities
Lead regulatory exams, inquiries, and interactions with the SEC, Client, and exchanges
Oversee compliance with applicable broker-dealer regulations and securities laws
Develop and maintain compliance policies, procedures, and supervisory frameworks
Partner with business units to identify, assess, and remediate regulatory risks
Provide guidance on regulatory matters, including new products and trading strategies
Oversee trade reporting (TRACE, CAT/CAIS) and pre-trade compliance within the OMS
Maintain supervisory programs in line with Client Rules 3110 and 3120
Lead issue management, including root cause analysis and corrective actions
Support strategic and ad hoc compliance initiatives
Education & Experience
10+ years of broker-dealer compliance experience
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