Senior Compliance Consultant
Michael Page Manhattan
About Our Client
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.
Job 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.
MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.
The Successful Applicant
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.
What's on 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.
RadarNew York, 3 mi from Manhattan (NY)
worldwide.
Today, gaming is our fastest-growing vertical. Dozens of operators and suppliers, from OSB to iGaming to iLottery to sweepstakes and more, are turning to Radar's next-generation geolocation compliance solution for unparalleled pricing...
Intone NetworksNew York, 3 mi from Manhattan (NY)
Job Title: NERC O&P (Operations) Compliance Engineer Job Requirements: Regulatory Audit Preparation: Lead efforts to prepare for regulatory audits, ensuring compliance with NERC O&P Standards. Develop and implement internal controls...
WNET New York Public MediaNew York, 3 mi from Manhattan (NY)
Description
Reporting to the Associate Director, Compliance and Benefits, the Senior Specialist, Benefits & Compliance will focus on benefits, compliance, and reporting. The Senior Specialist will have knowledge of Human Resources and will be responsible...
Best jobs you don't want to miss: