Compliance Officer

G MASS Consulting are partnered with a leading Hedge Fund to appoint an experienced Compliance Officer who will take ownership of day-to-day regulatory governance and provide line-of-business coverage across its U.S. broker-dealer, with a particular focus on Operations, Treasury, and Finance interfaces. This role will provide hands‑on oversight of the firm’s regulatory calendar, controls, examinations, and filings, ensuring the broker‑dealer maintains a fully compliant and exam‑ready environment. You will lead key governance functions including registrations, disclosures, WSP enhancements, and books‑and‑records oversight, while working closely with Finance, Operations, and Central Compliance to uphold a strong and scalable control framework. Responsibilities Own the‑dealer's regulatory governance program and calendar, tracking FINRA/SEC/DEA obligations, evidence requirements, and regulatory task queues Provide day‑to‑day compliance oversight and guidance to stakeholders to manage regulatory and operational risk Manage regulatory reporting and disclosures, including CAT/CAIS, Blue Sheets, LOPR, and short‑interest, with checks, evidence maintenance, and remediation Coordinate exams, audits, and regulatory inquiries, including Rule 3120 reviews, vendor assessments, exam‑readiness planning, and remediation tracking Oversee registrations, licensing (U4/U5, representative/principal frameworks), Form BD/BR filings, and membership documentation lifecycles, including attestations and QC reviews \ Maintain and uplift the supervisory framework and WSPs for Treasury, including controls, attestations, and policy updates Oversee books‑and‑records compliance under SEC Rules 17a‑3/17a‑4, ensuring documentation, retention controls, and audit trails; partner on compliance testing and risk assessments Support governance and training by co‑running BD Governance meetings, contributing to training needs assessments, and liaising with Finance, Operations, and Technology on key regulatory rules and compliance solutions Requirements 7+ years U.S. broker‑dealer compliance or assurance experience, with SEC/FINRA exposure; FINRA Series 7, 14, 27, or 99 preferred Hands‑on experience with FINRA Gateway, CAT/CAIS, EBS/LOPR, short‑interest filings, and compliance tools (AuditBoard, PolicyHub, SharePoint, JIRA) Strong knowledge of FINRA Rules 3110/3120/3130/3310, SEC 17a‑3/17a‑4, and Finance/Operations interfaces (15c3‑1 / 15c3‑3) Proven experience managing exams, mock exams, evidence packs, findings, and remediation plans Benefits Initial 12‑month contract. Paying up to $1,000 per day (C2C). 5 days a week in the office. #J-18808-Ljbffr G MASS Consulting