What are the responsibilities and job description for the Broker Dealer Compliance Associate position at Phaxis?
Growing clearing broker dealer is seeking a strong compliance associate to join their growing team!
2 years in a junior Compliance role supporting the CCO or his designee in performing any or all of the below requirements.
- Update and manage the Compliance Manual and WSPs
- Maintain the Compliance Calendar
- Trade surveillance including, but not limited to, insider trading, wash sales, spoofing, layering, etc.
- Handle requests from Client
- Handle compliance with the firm's Code of Ethics including training and OBA
- Onboarding of new employees
Salary : $75,000 - $125,000
