Compliance Operations Specialist - Broker Dealer Services

Job Description

Job Description

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.