VP, compliance technology

Phaxis; New York (NY); On-site; USD 90,000 - 130,000; Full time

Job summary

Phaxis is seeking a Compliance Technology Administrator in New York to support the ongoing improvement of the Firm's compliance technology environment. You will be the primary contact for system issues, manage access, coordinate upgrades, and help ensure regulatory alignment.

You will collaborate with the CCO, Compliance Heads, and IT leadership on data quality, reporting, audits, and system deployments to strengthen controls and governance.

Qualifications

• Bachelor's degree in a related field required.
• 4–6 years of experience in Compliance, Risk, or Technology.
• Working knowledge of compliance technologies and regulatory frameworks.

Responsibilities

• Administer core Compliance platforms and serve as primary contact for system issues.
• Manage user access, entitlements, and configurations per policy.
• Coordinate upgrades, testing, and regulatory mapping with Tech teams and vendors.
• Troubleshoot defects, data discrepancies, and perform root-cause analysis.
• Produce routine and ad hoc reports for governance and regulatory submissions.
• Support data quality initiatives and compliance technology projects.
• Document configurations and control frameworks; assist in audits and exams.

Skills

Data analysis

Communication

Regulatory awareness

Education

Bachelor's degree in Information Systems, Finance, Business Administration, or related field

Tools

Excel

SQL

Tableau

SharePoint

Jira

Job description

Reporting to the Chief Compliance Officer, this role supports the administration, maintenance, and continuous improvement of the Firm's Compliance Technology environment. Serves as the primary point of contact for Compliance-related systems, ensuring operational stability, timely issue resolution, and alignment with regulatory requirements and internal control standards. Works closely with the CCO, Compliance Department Heads, and IT leadership.

Responsibilities

• Administer core Compliance platforms and act as primary contact for system issues, incidents, and user inquiries
• Manage user access, entitlements, and system configurations per Firm policy and internal controls
• Coordinate system upgrades, enhancements, and testing with Technology teams and vendors, ensuring systems support regulatory obligations (SEC/FINRA)
• Troubleshoot system defects, data discrepancies, and process issues; conduct root cause analysis and implement sustainable fixes
• Monitor and validate completeness/accuracy of Compliance data across systems
• Produce and reconcile routine and ad hoc reports for internal governance, management committees, and regulatory submissions
• Support data quality initiatives — identifying, tracking, and resolving data exceptions
• Participate in Compliance technology initiatives: system implementations, integrations, process improvements
• Maintain documentation of system configurations, procedures, and control frameworks
• Perform UAT and support deployment activities
• Support internal audit, regulatory exams, and compliance reviews with documentation, system evidence, and issue remediation tracking

Requirements

• Bachelor's degree in Information Systems, Finance, Business Administration, or related field
• 4–6 years' experience in Compliance, Risk, or Technology functions, preferably at a broker-dealer or financial services firm (systems administration experience preferred)
• Working knowledge of Compliance technologies (trade surveillance, AML/KYC systems, employee compliance/PTA platforms)
• Proficiency in data analysis and reporting tools — advanced Excel, SQL, Tableau, SharePoint, Jira, and comparable surveillance/PTA compliance platforms
• Ability to diagnose system issues and coordinate with IT and external vendors
• Sound understanding of SEC and FINRA regulatory frameworks
• Strong communication skills, including translating technical concepts for non-technical stakeholders