Regulatory & Risk Consultant, Broker-Dealer Compliance

Job Description

The Regulatory and Risk Consultant will manage the firm's FINRA Rule 3120 supervisory controls seasonal program, coordinating outsourced testing with a third-party vendor, reviewing results, and ensuring conclusions are well supported. The role focuses on identifying gaps, drafting clear action plans, and working with stakeholders to drive remediation, while helping prepare the annual Rule 3120 report for the CEO and senior leadership. On a day to day, the consultant will help administer and organize JIRA boards to track high-risk issues, ownership, and progress. In parallel, the role supports broader compliance program strategy and administration by reviewing existing policies and procedures, running governance meetings, and helping evolve the firm's compliance framework into a more cohesive, risk-based program.

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 having led or owned risk coverage for a business area or function

? Candidates should come from risk, controls, or regulatory advisory functions

• 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

• Strong JIRA experience used to assign tasks, identify what's high risk, and create reports

? Built out risk assessment

• 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