Associate Director – Compliance Reporting & Trade Operations - Phaxis : Job Details

Associate Director – Compliance Reporting & Trade OperationsAssociate Director – Compliance Reporting & Trade Operations

3 days ago Be among the first 25 applicants

This range is provided by Phaxis. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$160,000.00/yr - $175,000.00/yr

Direct message the job poster from Phaxis

Compliance, Fincrime, & Risk Management | Talent Acquisition, Relationship Building

Overview

A growing brokerage and clearing services firm is seeking an experienced professional to lead the management and oversight of its non-financial regulatory reporting program. This role will ensure accurate and timely reporting across multiple U.S. regulatory bodies and asset classes, while driving improvements to processes, controls, and infrastructure.

Working closely with operations, compliance, technology, and front-office teams, the successful candidate will take ownership of strategic initiatives and daily processes supporting transaction and swap reporting. This position requires both a deep understanding of regulatory requirements and the operational expertise to implement robust, scalable solutions.

Key Responsibilities

• Oversee production and submission of non-financial regulatory reports to bodies including FINRA, SEC, and CFTC.
• Implement and maintain quality control measures to validate accuracy and completeness of all submissions.
• Conduct reconciliation and exception management processes for reportable events across products and jurisdictions.
• Identify and address gaps in data capture, reporting logic, and trade lifecycle coverage.
• Document business requirements, coordinate with technology teams on enhancements, and perform user acceptance testing (UAT).
• Investigate anomalies in reporting data, resolve issues, and manage back-reporting when necessary.
• Advise stakeholders on reporting obligations for new products, business lines, and entities.
• Respond to inquiries from internal teams, regulators, and industry groups.
• Keep current with changes to relevant SEC, CFTC, and FINRA rules, ensuring timely communication to affected stakeholders.
• Represent the firm in external discussions aimed at improving reporting standards across the industry.

Qualifications

• Bachelor's degree and 7+ years in financial services, with direct experience in regulatory reporting.
• In-depth knowledge of U.S. transaction reporting requirements for broker-dealers and swap dealers, including SEC, CFTC, and FINRA rules.
• Experience working across multiple asset classes, such as equities, fixed income, exchange-traded derivatives, OTC derivatives, FX, and commodities.
• Strong analytical and problem-solving skills, with the ability to navigate complex workflows and identify process improvements.
• Familiarity with vendor platforms and integration processes.
• Excellent verbal and written communication skills with proven ability to influence and collaborate across departments.
• Hands-on experience in drafting requirements, defining solutions, and executing test cases.
• Ability to work effectively in a high-pressure environment while balancing multiple priorities.
• Track record of participation in industry forums or working groups a plus.

Seniority level

• Seniority levelDirector

Employment type

• Employment typeFull-time

Job function

• Job functionFinance

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