• Location: New York NY
• Type: Contract
• Job #25955

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