Phaxis · 6 days ago
AVP, Regulatory Operations
New York, NY
Full-time
Hybrid
Senior LevelPhaxis is seeking an AVP, Regulatory Operations to support the integrity of transaction data submitted to U.S. market regulators for equity and options activity. The role involves identifying reporting issues, coordinating data corrections, and ensuring compliance with regulatory expectations.
DeliveryHuman ResourcesStaffing Agency
Responsibilities
Review regulatory submission outputs for equity and options transactions, identifying errors, mismatches, and data quality issues
Research reporting discrepancies by tracing trade lifecycles across order, execution, and post-trade systems
Coordinate remediation efforts with internal stakeholders to resolve reporting issues within required timeframes
Conduct daily data validation and comparison routines across multiple regulatory datasets
Maintain documentation related to issue resolution, controls, and recurring trends
Support regulatory change initiatives by assisting with requirements interpretation, testing activities, and production validation
Participate in periodic governance, oversight, and control processes tied to transaction reporting
Assist with responses to regulatory data requests and examinations, including the preparation of detailed trade-level information
Escalate systemic or high-risk issues to management with clear impact assessment
Qualification
Required
Prior experience in a broker-dealer environment supporting transaction reporting, trade operations, or market compliance
Working knowledge of equity and equity options products and how trades flow from execution through settlement
Comfort working with large datasets, exception queues, and operational controls
Strong written and verbal communication skills with the ability to explain issues to non-technical stakeholders
Ability to manage multiple priorities in a deadline-driven environment
Preferred
Exposure to multiple regulatory reporting frameworks for equities or options
Familiarity with industry trade processing or reporting platforms
Experience supporting regulatory exams or information requests
Knowledge of additional asset classes is beneficial but not required
Company
Phaxis
Phaxis is one of the nation's leading recruiting and consulting firms.
Founded in 2002
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Seth Friedland
Co-Founder and CEO
E
Erik DiGiacomo
President
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