What are the responsibilities and job description for the Senior Compliance Officer - CCO position at Phaxis?
Our firm, a leading Financial Services Clearing Organization, is seeking an experienced Compliance professional to join our growing team. This role requires a deep understanding of regulatory compliance within equity and options trading, as well as experience in proprietary trading, retail trading, and commodities (CMA).
Key Responsibilities :
- Ensure compliance with industry regulations across equity and options trading, proprietary trading, retail trading, and commodities.
- Oversee and implement compliance policies, procedures, and controls.
- Monitor trading activity to identify and address potential regulatory risks.
- Liaise with regulators and internal stakeholders to ensure adherence to financial regulations.
- Provide compliance guidance to traders and business teams.
- Assist in audits, regulatory filings, and examinations.
Qualifications & Requirements :
Salary : $150,000 - $250,000
