Compliance Officer

G MASS Consulting; New York (NY); On-site; USD 159,592 - 209,407; Full time

Job summary

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.

Qualifications

• 7+ years U.S. broker-dealer compliance or assurance experience.
• Hands-on experience with compliance tools.
• Proven experience managing exams and remediation plans.

Responsibilities

• Own the dealer's regulatory governance program and calendar.
• Provide day-to-day compliance oversight and guidance.
• Manage regulatory reporting and disclosures.
• Coordinate exams, audits, and regulatory inquiries.
• Oversee registrations and membership documentation lifecycles.
• Maintain and uplift the supervisory framework and WSPs.
• Oversee books-and-records compliance.
• Support governance and training.

Skills

U.S. broker-dealer compliance

SEC/FINRA exposure

Compliance tools (AuditBoard, PolicyHub, JIRA)

Strong knowledge of FINRA Rules

Tools

FINRA Gateway

CAT/CAIS

EBS/LOPR

Job description

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.

Responsibilities

• 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 lifecycles, including attestations and QC reviews
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• 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

Requirements

• 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 (AuditBoard, PolicyHub, 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

Benefits

Initial 12‑month contract.

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

5 days a week in the office.