Regulatory & Risk Consultant, Broker-Dealer

Job Description

For $68/hr, this role serves as a senior regulatory and risk partner to Broker-Dealer Compliance leadership and the businesses they support, translating regulatory expectations into practical, business-enabling outcomes. The individual operates across front-office, compliance, and legal teams to interpret regulatory developments, enforcement activity, and market changes, and provide clear, actionable guidance. The role includes presenting to regulatory teams and senior leadership, representing Compliance and the operational functions it supports, and clearly articulating how regulatory risks are identified, managed, and mitigated. Work is driven by front-office initiatives and evolving regulatory requirements across the firm's full product set, requiring a broad, generalist mindset. While not expected to be an expert in every regulation, the individual must quickly identify applicable rules, understand regulatory intent, and engage the appropriate resources, partnering closely with Legal and Compliance Operations to support responsible business growth.

We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to [email protected] learn more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy:

Skills and Requirements

• 5-8+ years of experience in risk or front-facing regulatory roles, ideally having led or owned risk coverage for a business area or function

? Candidates should come from risk, controls, or regulatory advisory functions, not traditional compliance or legal departments

• Prior experience in a comparable buy-side or sell-side environment, such as:

? Sophisticated proprietary trading firms (e.g., Jane Street)

? Full-service broker-dealers, particularly smaller or mid-sized firms that do full-service

? Big Four or advisory firms supporting broker-dealers or complex trading clients

• Demonstrated ability to understand regulatory expectations at a functional level, including what matters most to regulators in practice

• Deep but broadly applicable regulatory experience, covering multiple regulatory bodies and rule sets (Including FINRA, SEC, Clearing rules, Exchange and market-level rules such as CME

• Experience should not be narrowly siloed to a single regulator (e.g., exclusively OCC or CFTC)

Strong at presenting and contributing to industry and regulatory calls and with leadership, and not afraid to speak up and offer suggestions/innovations Underwriting experience