Broker-Dealer Compliance Consultant

Company Overview:
A globally recognized broker-dealer and market maker operates across equities, fixed income, derivatives, and commodities, ensuring compliance with FINRA, SEC, and international regulations. They are seeking experienced compliance professionals to support their business-line advisory and regulatory engagement functions.

Job Responsibilities:

Serve as a subject matter expert and day-to-day compliance advisor to trading desks, sales teams, and product groups on FINRA and SEC regulatory obligations

Conduct reviews of sales practices, marketing materials, and client communications for compliance with Reg BI, FINRA Rules 2010, 2111, 4511, and related regulations

Lead or support FINRA and SEC examination preparation, document production, staff interviews, and post-exam remediation planning

Draft, review, and update compliance policies, procedures, and supervisory controls aligned with current regulatory standards

Develop and deliver targeted compliance training programs for registered representatives, supervisors, and business line personnel

Monitor regulatory developments (FINRA Regulatory Notices, SEC releases, no-action letters) and assess impact on the firm's compliance program

Review and approve new products, strategies, and business activities through the new business initiative (NBI) process

Assist with registered representative onboarding, U4/U5 filings, and FINRA licensing and registration management

Qualifications:

Deep, current knowledge of FINRA rules, SEC regulations, and broker-dealer compliance advisory

Experience in a fast-paced, high-volume trading environment

Compensation:
Pay Rate:

$75 - $100/hr

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