Senior Compliance Lead: Trading & Regulatory Risk

Phaxis; Chicago (IL); Hybrid; USD 99,000 - 121,000; Full time

Benefits offered by this job

Health benefits

401(k) matching

PTO

Parental leave

Professional development

Job summary

Phaxis is seeking an experienced Lead Compliance Analyst to support its regulatory compliance function for a leading proprietary trading and options market-making practice in Chicago. The role focuses on strengthening internal policies, overseeing surveillance initiatives, and ensuring adherence to SEC, Client, and CBOE regulations.

The ideal candidate has 5+ years in compliance within trading or broker-dealer environments, strong regulatory knowledge, and experience with CRD registrations.

Qualifications

• 5+ years of compliance experience in proprietary trading or broker-dealer environments.
• Strong knowledge of SEC, Client, and CBOE regulations.
• Experience with trade surveillance, regulatory audits, and risk assessments.

Responsibilities

• Develop, maintain, and enhance compliance policies, written supervisory procedures (WSPs), and internal controls.
• Conduct compliance reviews, risk assessments, and regulatory testing to identify and mitigate potential risks.
• Oversee trade surveillance, employee trading restrictions, conflicts of interest, and information barriers.
• Manage electronic communications reviews, compliance monitoring, and vendor relationships.
• Administer Client CRD registrations, including Forms U4 and U5.
• Support regulatory examinations, filings, inquiries, and books and records requirements.
• Lead compliance improvement initiatives and provide regulatory guidance across the organization.
• Coordinate employee compliance training and ongoing regulatory education.

Skills

Regulatory knowledge

Analytical skills

Leadership

Project management

Communication

Tools

Global Relay

ComplySci

Job description

Phaxis is seeking an experienced Lead Compliance Analyst to support its regulatory compliance function for a leading proprietary trading and options market-making practice in Chicago. The role focuses on strengthening internal policies, overseeing surveillance initiatives, and ensuring adherence to SEC, Client, and CBOE regulations.

The ideal candidate has 5+ years in compliance within trading or broker-dealer environments, strong regulatory knowledge, and experience with CRD registrations.