Compliance Officer, Finance & Banking

G MASS Consulting are partnered with a leading Hedge Fund to appoint an experienced Compliance Officer who will take ownership of day-to-day regulatory governance and provide line-of-business coverage across its U.S. broker-dealer, with a particular focus on Operations, Treasury, and Finance interfaces. This role will provide hands‑on oversight of the firm’s regulatory calendar, controls, examinations, and filings, ensuring the broker‑dealer maintains a fully compliant and exam‑ready environment.

You will lead key governance functions including registrations, disclosures, WSP enhancements, and books‑and‑records oversight, while working closely with Finance, Operations, and Central Compliance to uphold a strong and scalable control framework.

• Own the‑dealer's regulatory governance program and calendar, tracking FINRA/SEC/DEA obligations, evidence requirements, and regulatory task queues
• Provide day‑to‑day compliance oversight and guidance to stakeholders to manage regulatory and operational risk
• Manage regulatory reporting and disclosures, including CAT/CAIS, Blue Sheets, LOPR, and short‑interest, with checks, evidence maintenance, and remediation
• Coordinate exams, audits, and regulatory inquiries, including Rule 3120 reviews, vendor assessments, exam‑readiness planning, and remediation tracking
• Oversee registrations, licensing (U4/U5, representative/principal frameworks), Form BD/BR filings, and membership documentation life cycles, including attestations and QC reviews
li>Maintain and uplift the supervisory framework and WSPs for Treasury, including controls, attestations, and policy updates
• Oversee books‑and‑records compliance under SEC Rules 17a‑3/17a‑4, ensuring documentation, retention controls, and audit trails; partner on compliance testing and risk assessments
• Support governance and training by co‑running BD Governance meetings, contributing to training needs assessments, and liaising with Finance, Operations, and Technology on key regulatory rules and compliance solutions

• 7+ years U.S. broker‑dealer compliance or assurance experience, with SEC/FINRA exposure; FINRA Series 7, 14, 27, or 99 preferred
• Hands‑on experience with FINRA Gateway, CAT/CAIS, EBS/LOPR, short‑interest filings, and compliance tools (Audit Board, Policy Hub, SharePoint, JIRA)
• Strong knowledge of FINRA Rules 3110/3120/3130/3310, SEC 17a‑3/17a‑4, and Finance/Operations interfaces (15c3‑1 / 15c3‑3)
• Proven experience managing exams, mock exams, evidence packs, findings, and remediation plans

Initial 12‑month contract.

Paying up to $1,000 per day (C2C).

5 days a week in the office.