Broker-Dealer Compliance Consultant

Our client, a top-tier Management and Strategy consulting firm is in a need of a Broker-Dealer Compliance Consultant for supporting the clients meet employee compliance requirements for broker dealers. The job requires past experience and deep expertise in different employee compliance functions. The right individual will have experience in the operational duties related to several areas of employee compliance, experience creating and maintaining reporting to track and monitor compliance, and experience managing teams across compliance functions. The role also oversees day-to-day operations and performance management of project teams and junior team members. The ideal candidate has a thorough understanding of workflows and managing the effective quality control of compliance operations functions.


  • Support employee compliance functions like personal trading, OBAs, registrations and certifications
  • Work closely with clients to identify and implement operational, organizational and technical efficiencies
  • Manage teams across the compliance functions
  • Develop and update related policies and procedures
  • Design and prepare management metrics and reports
  • Work closely to technology partners to identify business requirements, perform testing and implement new functionality
  • Work with management to identify new opportunities to sell and support new compliance related engagements at other clients


  • 5 + years of compliance operations experience with a broker-dealer, preferably working in a compliance department supporting operations
  • Exposure to employee training objectives
  • Previous or current employee registration and licensing a plus
  • Experience with compliance software such as ComplySci or MCO
  • Exposure to restricted/watch lists
  • Exposure to or experience with the following employee compliance functions:
    • Personal Trading Compliance
    • Gifts, Entertainment and Hospitality
    • Political Contributions and Donations
    • Outside Business Activities
    • Authorization, Registration, and Licensing
    • Role Monitoring and Accountability
    • Compliance Program Management
    • Connected Persons and Relationships
  • Prior experience with technology solutions such as NASDAQ SMARTS, KX, SteelEye, NICE Actimize, Aquis a plus
  • Understanding of trade surveillance preferred
  • General knowledge of applicable regulations relating to Banking, Broker-Dealer and Futures Commission Merchant activity
  • Strong attention to detail
  • Ability to prioritize and work in a dynamic, deadline-focused environment
  • Exemplary personal ethics and desire to always adhere to rules and regulations
  • Ability to work well in a highly diverse team
  • Demonstrated history of taking initiative
  • Ability to interact and work closely with business stakeholders at all levels of seniority
  • Excellent written, communication, and presentation skills (Microsoft Excel, Word, and PowerPoint skills)
  • Possess strong analytical thinking and critical reasoning skills
  • Bachelor’s Degree or international equivalent required