About this opportunity
Landing Point lists this Broker-Dealer Compliance Consultant opportunity in city of niagara falls, New York. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Company Overview:
A globally recognized broker-dealer and market maker operates across equities, fixed income, derivatives, and commodities, ensuring compliance with FINRA, SEC, and international regulations. They are seeking experienced compliance professionals to support their business-line advisory and regulatory engagement functions.
Job Responsibilities:
Serve as a subject matter expert and day-to-day compliance advisor to trading desks, sales teams, and product groups on FINRA and SEC regulatory obligations
Conduct reviews of sales practices, marketing materials, and client communications for compliance with Reg BI, FINRA Rules 2010, 2111, 4511, and related regulations
Lead or support FINRA and SEC examination preparation, document production, staff interviews, and post-exam remediation planning
Draft, review, and update compliance policies, procedures, and supervisory controls aligned with current regulatory standards
Develop and deliver targeted compliance training programs for registered representatives, supervisors, and business line personnel
Monitor regulatory developments (FINRA Regulatory Notices, SEC releases, no-action letters) and assess impact on the firm's compliance program
Review and approve new products, strategies, and business activities through the new business initiative (NBI) process
Assist with registered representative onboarding, U4/U5 filings, and FINRA licensing and registration management
Qualifications:
Deep, current knowledge of FINRA rules, SEC regulations, and broker-dealer compliance advisory
Experience in a fast-paced, high-volume trading environment
Compensation:
Pay Rate: $75 - $100/hr
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Who can apply
Review the original listing for work authorization, qualifications and employer requirements.