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Broker Dealer Compliance Consultant
Broker Dealer Compliance ConsultantMadison-Davis • New York, NY
Broker Dealer Compliance Consultant

Broker Dealer Compliance Consultant

Madison-Davis • New York, NY
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Rate : $80 / hour

3 days onsite

  • Lead the development and enhancement of the Broker Dealer Services framework, including policies, procedures.
  • Support regulatory audits, examinations, and inquiries, ensuring preparedness and alignment with industry standards.
  • Interpret evolving regulations, assess operational impact, and deliver strategic compliance solutions.
  • Provide Compliance Advisory services to broker-dealer business lines.
  • Complete or assist in completing broker-dealer related regulatory inquiries and / or examinations.
  • Provide interpretive guidance on FINRA, SEC, NFA and CFTC rules and regulations as well as applicable internal policies and procedures
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Dealer Compliance • New York, NY

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