Broker Dealer Compliance- Sr. Consultant
Core
Oversees the interpretation, education, and effectiveness of the Compliance program for a FINRA member broker-dealer and SEC-registered investment adviser.
Role type
Senior Compliance Consultant
Builds
Compliance programs, policies, procedures, and regulatory responses
Domain
Financial Services / Broker-Dealer Compliance
Required skills
FINRA/SEC regulatory knowledge, risk management, policy drafting, compliance testing, audit coordination, training delivery, project leadership
Preferred skills
Series 24, 63/66, 65/66, 4, 53 registrations, senior management advisory
Technologies
N/A
Responsibilities
Lead compliance projects and remediate issues, advise senior management on regulations, develop compliance programs and training, draft policies and procedures, perform compliance inspections and controls testing, support regulatory examinations, manage recurring compliance operations, interact with auditors, review work of others
Seniority
Senior, hands-on IC