Phaxis
Fintech Broker Dealer is seeking an experienced regulatory operations leader to manage all non-financial regulatory reporting obligations. This role will partner with front office, Technology, Legal, and Compliance to ensure accurate, complete, and timely reporting across multiple products, markets, and jurisdictions.
Key Responsibilities: Oversee production, submission, and reconciliation of all non-financial regulatory reports. Ensure accuracy and completeness of trade reporting; identify and resolve gaps in lifecycle coverage. Advise on reporting requirements for new business and entity setups. Respond to regulatory inquiries and participate in industry working groups. Stay current on SEC, CFTC, and Client rules and developments. Qualifications:
Bachelor's degree and 7+ years' experience in financial services regulatory reporting. Expertise in SEC/CFTC security-based swap dealer reporting and Client broker-dealer requirements. Base Salary - $150,000-$180,000 depending on experience
Key Responsibilities: Oversee production, submission, and reconciliation of all non-financial regulatory reports. Ensure accuracy and completeness of trade reporting; identify and resolve gaps in lifecycle coverage. Advise on reporting requirements for new business and entity setups. Respond to regulatory inquiries and participate in industry working groups. Stay current on SEC, CFTC, and Client rules and developments. Qualifications:
Bachelor's degree and 7+ years' experience in financial services regulatory reporting. Expertise in SEC/CFTC security-based swap dealer reporting and Client broker-dealer requirements. Base Salary - $150,000-$180,000 depending on experience