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Senior Compliance Officer Broker-Dealer Regs Lead
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-10-07
Listing for:
G MASS Consulting
Part Time
position Listed on 2026-10-07
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Crime
Job Description & How to Apply Below
A leading consulting firm is seeking an experienced Compliance Officer to oversee regulatory governance within a U.S. broker-dealer. The role focuses on maintaining compliance across Operations, Treasury, and Finance interfaces. Key responsibilities include managing the regulatory calendar, providing compliance oversight, and coordinating audits and exams. Candidates should have over 7 years of relevant experience, including hands-on regulatory reporting and management of compliance tools.
This is an initial 12-month contract with a competitive pay rate of up to $1,000 per day, requiring in-office presence five days a week.
The following opportunity is for a Senior Compliance Officer Broker-Dealer Regs Lead with G MASS Consulting. Are you ready to take on the Senior Compliance Officer Broker-Dealer Regs Lead role at G MASS Consulting? We would love to welcome a new Senior Compliance Officer Broker-Dealer Regs Lead to our group in New York, NY, United States.
Position Requirements
10+ Years
work experience
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