About this opportunity
Phaxis lists this Compliance Lead - Trade Surveillance (Contract) opportunity in new york city, New York. Review the employer’s description below for duties, qualifications and application requirements.
Job description
This is a long-term contract opportunity in Midtown, NYC (hybrid; 3 days onsite/2 wfh)
Apply now for more details!
Position Overview:
Our client, a leading proprietary trading and options market-making firm, is seeking an experienced Lead Compliance Analyst to support its regulatory compliance function. This individual will help strengthen internal policies and procedures, oversee surveillance initiatives, manage regulatory requirements, and ensure adherence to SEC, Client, and CBOE regulations.
Key Responsibilities:
Develop, maintain, and enhance compliance policies, written supervisory procedures (WSPs), and internal controls.
Conduct compliance reviews, risk assessments, and regulatory testing to identify and mitigate potential risks.
Oversee trade surveillance, employee trading restrictions, conflicts of interest, and information barriers.
Manage electronic communications reviews, compliance monitoring, and vendor relationships.
Administer Client CRD registrations, including Forms U4 and U5.
Support regulatory examinations, filings, inquiries, and books and records requirements.
Lead compliance improvement initiatives and provide regulatory guidance across the organization.
Coordinate employee compliance training and ongoing regulatory education.
Qualifications:
5+ years of compliance experience, preferably within proprietary trading, options market making, or broker-dealer environments.
Strong knowledge of SEC, Client, and CBOE regulations.
Experience with trade surveillance, compliance testing, regulatory audits, and risk assessments.
Pay:
$50-$55/hr
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.