What are the responsibilities and job description for the Compliance Officer - Broker-dealer position at Phaxis?
A mid-sized and growing broker dealer is looking to add a compliance officer to their growing compliance team.
Responsibilities:
- 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
- Support Chief Compliance Officer and the and/or the Firm in any other ad hoc requests and tasks
Requirements
- 3 years of experience working in compliance at a broker dealer
- Bachelors degree preferred
- FINRA licenses preferred
- Experience in trade surveillance and regulatory compliance required
Salary : $110,000 - $150,000
