Compliance Operations Specialist - Broker Dealer Services

New Yesterday

We are seeking an experienced Compliance Operations Specialist with deep expertise in broker-dealer services and financial regulatory compliance to join a high-performing team within a leading hedge fund in New York City. The ideal candidate will be a compliance SME, with a strong background in hedge funds, broker-dealers, or prime brokerage, and an expert understanding of U.S. and global regulatory frameworks. Supporting a range of compliance operations projects and high-impact initiatives within the broker-dealer business. This individual will drive the development and implementation of scalable, robust compliance infrastructure and control frameworks across domestic and international broker-dealer operations. Key Responsibilities: Act as a primary point of contact and strategic partner to the Chief Compliance Officer on compliance operations projects and broker-dealer-related matters. Serve as an all-round compliance subject matter expert (SME), leveraging deep expertise in buy-side and hedge fund regulation. Lead the development and enhancement of the Broker Dealer Services framework, including policies, procedures, and scalable infrastructure. Design and implement governance structures and control frameworks tailored to broker-dealer activities. Lead the redesign and optimization of broker-dealer memberships and CCP (Central Counterparty) relationships. Provide dedicated compliance support for new business initiatives and ventures, including those currently in-flight. Oversee and contribute to the setup and expansion of broker-dealer operations in international jurisdictions. Perform legal and regulatory analysis, collaborating closely with both internal and external legal counsel. Partner with compliance, operations, legal, and technology teams to enhance regulatory adherence, operational efficiency, and risk mitigation. Support regulatory audits, examinations, and inquiries, ensuring preparedness and alignment with industry standards. Interpret evolving regulations, assess operational impact, and deliver strategic compliance solutions. Requirements Bachelor’s degree in Finance, Business, Law, or a related field. 10+ years of experience in financial services, particularly within hedge funds, broker-dealers, or prime brokerage. Deep knowledge of SEC, FINRA, CFTC, and other global regulatory frameworks. Proven track record in building compliance infrastructure, governance structures, and scalable frameworks for broker-dealer operations. Demonstrated expertise in broker-dealer memberships, CCP structures, and international expansion support. Strong legal analysis skills and experience collaborating with legal counsel on complex regulatory matters. Exceptional project management, analytical, and communication skills, with the ability to influence and collaborate across all levels of the organization. Benefits Corp to Corp rate of $1200 per day. 12-month contract (rolling) with an immediate start. Fully onsite role requiring 5 days a week in the office.
Location:
New York
Category:
Business

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