Senior Compliance Officer

Phaxis; Chicago (IL); On-site; USD 140,000 - 190,000; Full time

Job summary

Phaxis seeks a Senior Compliance Officer to provide real-time compliance advisory support for our Futures Commission Merchant (FCM) business and affiliated entities in the United States. You will lead regulatory filings, draft and refine policies, and advise front-office teams on day-to-day activities to ensure SEC, NFA, CFTC, and exchange compliance.

Based in the Chicago area, the role involves BCAC reviews of new initiatives, ongoing calendar management, and close collaboration with Desk Heads

Qualifications

• Serve as the primary compliance advisor to front-office teams on day-to-day FCM business activities and questions.
• Lead preparation and submission of regulatory filings; manage regulatory relationships and inquiries for the US FCM business line.
• Draft, review, and enhance FCM Policies and Procedures and Written Supervisory Procedures.
• Support Desk Heads on FCM-related compliance matters.
• Review new business initiatives, products and markets for compliance prior to launch via the US FCM BCAC process.
• Track and meet Compliance Calendar deadlines in coordination with the broader team.
• Ensure ongoing compliance with SEC, Client, NFA, CFTC, and applicable exchange requirements.

Responsibilities

• Serve as the primary compliance advisor to front-office teams on day-to-day FCM business activities and questions.
• Lead preparation and submission of regulatory filings; manage regulatory relationships and inquiries for the US FCM business line.
• Draft, review, and enhance FCM Policies and Procedures and Written Supervisory Procedures.
• Support Desk Heads on FCM-related compliance matters.
• Review new business initiatives, products and markets for compliance prior to launch via the US FCM BCAC process.
• Track and meet Compliance Calendar deadlines in coordination with the broader team.
• Ensure ongoing compliance with SEC, Client, NFA, CFTC, and applicable exchange requirements.

Job description

Broker dealer client is seeking a Senior Compliance Officer to provide real-time compliance advisory support to our Futures Commission Merchant (FCM) business, along with affiliated Introducing Brokers (IBs), Guaranteed Introducing Brokers (GIBs), and Swap Dealers.

Responsibilities

• Serve as the primary compliance advisor to front-office teams on day-to-day FCM business activities and questions
• Lead preparation and submission of regulatory filings; manage regulatory relationships and inquiries for the US FCM business line
• Draft, review, and enhance FCM Policies and Procedures and Written Supervisory Procedures
• Support Desk Heads on FCM-related compliance matters
• Review new business initiatives, products, and markets through the US FCM BCAC review process to confirm compliance prior to launch
• Track and meet Compliance Calendar deadlines in coordination with the broader team
• Ensure ongoing compliance with SEC, Client, NFA, CFTC, and applicable exchange requirements