Senior Broker-Dealer Compliance Lead; Equities
Listed on 2026-10-06
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Finance & Banking
Regulatory Compliance Specialist, Financial Crime, Financial Services
Location: New York
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.
The following opening is for a Senior Broker-Dealer Compliance Lead (Equities & Options) with Phaxis.
We are currently recruiting a Senior Broker-Dealer Compliance Lead (Equities & Options) for our team in New York, NY, United States.
This is a strong opportunity to take on the Senior Broker-Dealer Compliance Lead (Equities & Options) role at Phaxis.
As a Senior Broker-Dealer Compliance Lead (Equities & Options), you will play an important part at Phaxis in New York, NY, United States.
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