Sr. Broker dealer compliance officer
Phaxis · New York, NY · 2 days ago
On-siteFinanceFull-time
What you'll do
- Advises the business on U.S. equities/options execution, futures & derivatives, market access/electronic routing, stock loan, and clearance & settlement
- Interprets and implements requirements under Reg NMS, Reg SHO, Reg ATS, Rule 15c3-5, Client trading/supervision rules, CFTC/NFA rules, and exchange rules (NYSE, Nasdaq, Cboe, CME, ICE)
- Advise on new products, trading strategies, and regulatory/market structure developments
What you bring
- 7+ years compliance experience at a broker-dealer, FCM, exchange, or regulator
- Deep knowledge of U.S. equity/options market structure, futures/derivatives regulation, and clearing/prime brokerage
- Direct experience engaging with SEC, Client, CFTC, NFA, and exchanges
- Strong grasp of surveillance systems, algo trading governance, best execution, and market access risk controls
- Series 7 & 24 required; Series 3 preferred