An exciting opportunity has arisen for a seasoned compliance consultant with broker-dealer expertise to join a leading regulatory consulting firm. This role offers the chance to establish and maintain the compliance program for a diverse book of broker-dealer clients.
What You'll Do
You will play a pivotal role in shaping the compliance landscape of our broker-dealer clients. Your day-to-day responsibilities will include assisting clients through regulatory examinations, advising on compliant business practices, and maintaining procedure manuals.
What You Bring
The ideal candidate brings a wealth of experience in Broker-Dealer regulatory compliance. They possess a detailed knowledge of FINRA rules. Additionally:
5+ years relevant experience in Broker-Dealer regulatory compliance
Detailed knowledge of FINRA rules and Broker-Dealer compliance
Series 7 & 24 licensed required; or must be willing and able to obtain FINRA Series 7 & 24 registrations with FINRA
Bachelor’s degree in related field
Ability to work independently, multi-task, manage projects and time effectively
Excellent communication skills, writing skills, interpersonal skills, and a strong presence
Some travel may be required
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Legal
Industries
Staffing and Recruiting
Referrals increase your chances of interviewing at Robert Walters by 2x