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Broker-Dealer Compliance & Regulatory Governance Lead
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-03-01
Listing for:
G MASS Consulting
Full Time
position Listed on 2026-03-01
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist
Job Description & How to Apply Below
A leading consultancy firm is seeking an experienced Compliance Officer to manage regulatory governance for a hedge fund’s broker-dealer in the U.S. This role involves overseeing compliance functions and regulatory reporting while ensuring adherence to SEC and FINRA requirements. The ideal candidate will have over 7 years of broker-dealer compliance experience and a solid understanding of regulatory frameworks. This position offers an opportunity to work closely with finance and operational teams to uphold a strong compliance culture.
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