Broker Dealer Compliance Advisor

Phaxis; New York (NY); On-site; USD 150,000 - 230,000; Full time

Job summary

Phaxis, a leading financial services firm in New York, seeks a Broker-Dealer Compliance Advisor with deep expertise in U.S. broker-dealer regulations, equities, and listed options. You will provide compliance guidance to business teams and support regulatory risk assessments.

You will develop and maintain policies, procedures, and WSPs, review new products for compliance, and coordinate with Front Office to meet regulatory calendars, ensuring compliance with SEC and other rules.

Qualifications

• 8+ years in financial services compliance or legal roles.
• Strong knowledge of U.S. Broker-Dealer regulations.
• Experience with equities and listed options.
• Bachelor's degree required; JD or advanced degree preferred.

Responsibilities

• Advise Front Office on regulatory compliance on a day-to-day basis.
• Support Head of U.S. Broker-Dealer Compliance.
• Develop and enhance Policies, Procedures, and Written Supervisory Procedures (WSPs).
• Review new products and initiatives for regulatory compliance.
• Collaborate with the business to meet regulatory calendars.
• Ensure compliance with SEC and other U.S. Broker-Dealer regulations.

Skills

Regulatory compliance

Broker-Dealer regulations

Equities

Listed options

Advisory experience

Education

Bachelor's degree in finance / economics / business

JD or advanced degree preferred

Job description

A leading financial services firm is seeking a Broker-Dealer Compliance Advisor with strong expertise in U.S. Broker-Dealer regulations, particularly Equities and Listed Options. This role will provide compliance guidance to business teams, assess regulatory risk, and support the development of policies and procedures.

Key Responsibilities

• Support the Head of U.S. Broker-Dealer Compliance.
• Provide day-to-day compliance advisory support to Front Office teams.
• Develop and enhance Policies, Procedures, and Written Supervisory Procedures (WSPs).
• Review new products, markets, and business initiatives for regulatory compliance.
• Partner with the business to meet regulatory and Compliance Calendar requirements.
• Ensure compliance with SEC, Client, and other U.S. Broker-Dealer regulations.

Qualifications

• 8+ years of experience in financial services compliance or legal roles.
• Strong knowledge of U.S. Broker-Dealer regulations.
• Experience with equities and listed options.
• Bachelor's degree in Finance, Economics, Business, or related field required; JD or advanced degree preferred.