Senior Compliance Consultant

4 weeks ago

New York, United States Michael Page Full time
The Senior Compliance Consultant role involves ensuring compliance with FINRA, SEC, and broker-dealer regulations by developing and implementing compliance policies, conducting audits, and overseeing risk assessments. Additionally, the position serves as a liaison with regulatory bodies and manages anti-money laundering (AML) and Know Your Customer (KYC) programs to mitigate compliance risks.

Client Details

Our client is a fintech company, based in New York City, offering an online brokerage platform that provides retail investors access to a wide range of financial instruments, including stocks, options, ETFs, and cryptocurrencies. It is recognized for low commission rates, advanced trading tools, and real-time market data, while also providing educational resources and customer support to enhance the trading experience. As part of a larger group, the firm operates in multiple international markets, making global trading more accessible.

Description

The Senior Compliance Consultant will be responsible for the following:

  • Ensure regulatory compliance with FINRA, SEC, and broker-dealer regulations.
  • Monitor and implement new regulatory developments.
  • Serve as the primary contact for regulatory inquiries and audits.
  • Develop and update compliance policies and WSPs.
  • Conduct compliance reviews of firm activities.
  • Perform risk assessments and implement mitigation controls.
  • Approve marketing materials and new products.
  • Manage compliance monitoring and transaction oversight.
  • Investigate potential regulatory violations.
  • Oversee AML and KYC programs.
  • Maintain information barriers to prevent insider trading.
  • Monitor sensitive transactions for compliance.
  • Manage conflicts of interest in research reports.

Profile

The Senior Compliance Consultant should have the folllowing background:

  • Bachelor's degree in Finance, Business, Law, or related field (MBA/JD/certifications preferred).
  • 10+ years of compliance experience in broker-dealer regulations.
  • Strong knowledge of FINRA and SEC regulations.
  • Experience with regulatory examinations and audits.
  • Active Series 7 and Series 24 licenses (Series 14 a plus).
  • Mandarin proficiency preferred.
  • Strong analytical and problem-solving skills.
  • Excellent communication skills, both written and verbal.
  • Leadership experience in compliance functions.
  • Ability to manage multiple priorities in a fast-paced environment.
  • Knowledge of trading systems and surveillance tools.

Job Offer

The offer for the successful Senior Compliance Consultant includes a competitive hourly pay rate plus benefits for the duration of a long-term contract with opportunity to convert to a Full-Time position.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

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