$85,000–$110,000 Per Year
Brokerage, Dodd Frank Act, Fixed Income Investments, Futures, Maintain Compliance, Operational Audit, Regulations, Regulatory Reports, Securities and Exchange Commission (SEC), Swap Market, Systems Administration/Management
Responsibilities
Monitor and resolve daily regulatory reporting across CAT, CAIS, Dodd-Frank, CFTC Large Trader (Part 20), TRACE, and other regimes
Maintain regulatory and static data, exchange mappings, and reporting enrichment
Ensure compliance with Client, SEC, CFTC, OCC, NFA, and exchange requirements
Support regulatory change, system enhancements, and upgrades
Maintain procedures, controls, and regulatory inboxes
Identify, escalate, and remediate reporting risks and data issues
Qualifications
SME in OTC derivatives and regulatory reporting
Hands-on experience with CAT, CAIS, Dodd-Frank, CFTC LTR, and transaction reporting
P
Phaxis LLC
We stand for PERSEVERANCE, as we refuse to quit when the journey gets tough. Your gold is our mission, and we search day and night to find it.
50 to 99 employees
Staffing/Employment Agencies