Phaxis
Compliance Officer
A growing clearing fintech broker dealer is seeking a compliance officer to further enhance their Reg Sho framework. Key responsibilities include: Maintain, administer, and enhance compliance policies, procedures, and written supervisory procedures (WSPs) related to Reg SHO, particularly Rule 204. Monitor and analyze Reg SHO obligations and aging reports to ensure compliance and resolve fail-to-deliver (FTD) positions in real time. Work closely with stock loan desk, traders, and market makers to address questions and provide interpretive guidance on Reg SHO. Develop and manage the client notification and penalty box process for non-compliant positions. Prepare and submit timely internal reports on Reg SHO compliance to senior stakeholders. Draft responses to client, SEC, and other regulatory inquiries, escalating any issues to the Head of Custody Operations, Equity Finance Desk, and CCO. Qualifications and experience: 5+ years of experience in financial services, with exposure to compliance, stock loan, or operations at a prime broker and/or clearing firm. 3+ years of direct Reg SHO compliance experience at a broker-dealer or clearing firm. Base salary: $175,000-$200,000 depending on experience
A growing clearing fintech broker dealer is seeking a compliance officer to further enhance their Reg Sho framework. Key responsibilities include: Maintain, administer, and enhance compliance policies, procedures, and written supervisory procedures (WSPs) related to Reg SHO, particularly Rule 204. Monitor and analyze Reg SHO obligations and aging reports to ensure compliance and resolve fail-to-deliver (FTD) positions in real time. Work closely with stock loan desk, traders, and market makers to address questions and provide interpretive guidance on Reg SHO. Develop and manage the client notification and penalty box process for non-compliant positions. Prepare and submit timely internal reports on Reg SHO compliance to senior stakeholders. Draft responses to client, SEC, and other regulatory inquiries, escalating any issues to the Head of Custody Operations, Equity Finance Desk, and CCO. Qualifications and experience: 5+ years of experience in financial services, with exposure to compliance, stock loan, or operations at a prime broker and/or clearing firm. 3+ years of direct Reg SHO compliance experience at a broker-dealer or clearing firm. Base salary: $175,000-$200,000 depending on experience