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Broker/Dealer Compliance Specialist

  • Location: New York, NY
  • Job Type: Contract
  • Ref No: 19-05536
  • Date: September 17, 2019
  • Job title:
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Job Description - Broker/Dealer Compliance Specialist

We are working with a major Management Consulting firm focused on Broker/Dealer Compliance.

The candidate will be covering the following areas within the bank:

  • Broker-dealer and investment advisory, Retail wealth management (including offshore business models)
  • Retail investment products and services sales and suitability (including investment advisory, traditional/packaged products, capital markets products, structured products, alternative investments and wealth planning.

The candidate will need to perform the following tasks:

  • Issue management
  • Project support
  • Communication and letter reviews
  • Training updates (e.g., TCPA)
  • MCA review
  • Dashboard updates
  • Escalation tracking
  • Reporting
  • Monitoring


  • Management experience
  • Consumer compliance
  • Knowledge of marketing compliance

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