Compliance Associate - Dallas, TX! Job at Phaxis, Dallas, TX

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  • Phaxis
  • Dallas, TX

Job Description

Compliance Associate

A well-established broker-dealer is looking for a proactive and detail-oriented Compliance Associate to join their team. This role involves working independently and taking the lead on projects that help reduce regulatory and operational risks.

What You’ll Do:

  • Act as the main point of contact for the SEC, state, and international regulators – coordinate and respond to inquiries and exams, and prepare reports.
  • Handle registration and licensing requests alongside the compliance team.
  • Support core compliance tasks like:
  • Reviewing employee trading activity and account statements
  • Overseeing outside business activity and other employee disclosures
  • Monitoring gifts, entertainment, and communication (e.g., email reviews)
  • Managing regulatory filings and disclosures for investment advisors
  • Identify ways to improve and streamline compliance processes—think automation and tech upgrades.
  • Investigate compliance issues, recommend solutions, and escalate when needed.
  • Prepare and submit quarterly and annual regulatory filings.

What You’ll Need:

  • Bachelor’s degree in business or a related field.
  • 3+ years of experience in financial services, ideally within broker-dealer compliance.
  • SIE and Series 7 preferred (or ability to obtain them).
  • Experience with compliance systems like MCO (MyComplianceOffice) is a plus.
  • Familiarity with regulatory systems like FINRA Gateway and NFA Online Registration System is also a bonus.

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