Broker Dealer Compliance Consultant

Rate: $80/hour

3 days onsite

• Lead the development and enhancement of the Broker Dealer Services framework, including policies, procedures.
• Support regulatory audits, examinations, and inquiries, ensuring preparedness and alignment with industry standards.
• Interpret evolving regulations, assess operational impact, and deliver strategic compliance solutions.
• Provide Compliance Advisory services to broker-dealer business lines.
• Complete or assist in completing broker-dealer related regulatory inquiries and/or examinations.
• Provide interpretive guidance on FINRA, SEC, NFA and CFTC rules and regulations as well as applicable internal policies and procedures