Broker-Dealer Compliance Advisor: Reg BI & FINRA/SEC

Company OverviewA 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 ResponsibilitiesServe as a subject matter expert and day-to-day compliance advisor to trading desks, sales teams, and product groups on FINRA and SEC regulatory obligationsConduct reviews of sales practices, marketing materials, and client communications for compliance with Reg BI, FINRA Rules 2010, 2111, 4511, and related regulationsLead or support FINRA and SEC examination preparation, document production, staff interviews, and post-exam remediation planningDraft, review, and update compliance policies, procedures, and supervisory controls aligned with current regulatory standardsDevelop and deliver targeted compliance training programs for registered representatives, supervisors, and business line personnelMonitor regulatory developments (FINRA Regulatory Notices, SEC releases, no-action letters) and assess impact on the firm's compliance programReview and approve new products, strategies, and business activities through the new business initiative (NBI) processAssist with registered representative onboarding, U4/U5 filings, and FINRA licensing and registration managementQualificationsDeep, current knowledge of FINRA rules, SEC regulations, and broker-dealer compliance advisoryExperience in a fast-paced, high-volume trading environmentCompensation$75 – $100/hrJ-18808-Ljbffr