Phaxis
Vice President - Control Room
Phaxis, New York, New York, us, 10261
Responsibilities:Maintain and update the Firm's watch and restricted list regularly.Monitor interactions and communications between the Research and Investment Banking departments.Handle regulatory inquiries and effectively manage conflicts.Actively participate in regulatory examinations and internal audits.Provide valuable advice and guidance to business partners, ensuring alignment with clients' needs.Requirements:
Bachelor's degree with 5+ years of relevant experience in compliance.Proficiency in researching clearance against Investment Banking transactions is mandatory.Working knowledge of applicable Client rules, SEC rules, and industry standards.Securities licenses such as Series 7 and 24 are strongly preferred.
Base salary - $150,000-$190,000 depending on experience
Bachelor's degree with 5+ years of relevant experience in compliance.Proficiency in researching clearance against Investment Banking transactions is mandatory.Working knowledge of applicable Client rules, SEC rules, and industry standards.Securities licenses such as Series 7 and 24 are strongly preferred.
Base salary - $150,000-$190,000 depending on experience