Compliance Lead

Job overview

The Compliance Lead role is hybrid in Chicago, IL, with three days onsite and two days remote; compensation is not specified, though the posting describes a competitive base salary and discretionary annual bonus. The role supports the regulatory compliance function of a proprietary trading and options market-making firm. The role exists to strengthen compliance policies, controls, and surveillance while ensuring adherence to SEC, client, and CBOE regulations. It contributes by managing regulatory requirements, supporting examinations and filings, and providing guidance and training across the organization.

What you'll do

• Develop and maintain compliance policies, written supervisory procedures, and internal controls
• conduct compliance reviews, risk assessments, and regulatory testing
• oversee trade surveillance, employee trading restrictions, conflicts of interest, and information barriers
• manage communications reviews, monitoring, and vendor relationships
• administer CRD registrations including Forms U4 and U5
• support examinations, filings, inquiries, and books and records
• lead improvement initiatives
• coordinate employee compliance training.

What we're looking for

Skills & competencies

compliance lead

compliance analyst

proprietary trading

options market making

sec regulations

cboe regulations

trade surveillance

series 24

series 57

hybrid

chicago il

health benefits

401(k) match

pto

Work arrangement

• Weekend coverage required

Benefits & perks

• Competitive base salary, discretionary annual bonus, health benefits, 401(k) matching, PTO, parental leave, and professional development opportunities.

Why this role

Series 24 required; Series 57 required or obtainable within 90 days. Hybrid schedule is three days onsite and two remote.

About the employer

Phaxis LLC is hiring for this role. Industry: Miscellaneous Financial Investment Activities. Sector: 52.