Job Description

Broker-Dealer Compliance Consultant - Associate Director

Opportunity
Seeking a compliance consultant with broker-dealer expertise for a securities industry regulatory
consulting firm to establish and/or maintain the compliance program for its broker-dealer clients. Must
have FINRA Series 7 & 24 license; or be willing and able to obtain such licenses and registration with FINRA
within 3 months of hire.

Company
DFP Regulatory Services, founded in 1999, is a compliance consulting firm which provides expert support
to the financial services industry. Our client base includes broker-dealers, investment advisers, privately
held funds, and the US arms of foreign banks. The firm’s parent company is DFP Partners, a CPA firm
formed in 1952 whose services include accounting, bookkeeping, and outsourced Financial and
Operations Principals.https://content-app.com/?action=dashboard&method=default

Role:
• Work closely on compliance matters with client personnel
• Assist broker-dealer clients through regulatory examinations and respond to regulatory inquiries
• Advise clients regarding compliant business practices (sales, trading, banking, research, etc.)
• Write, edit, and maintain procedures manuals including WSPs, AML Programs, Training Plans, etc.
• Conduct Firm reviews and mock examinations
• Deliver annual compliance meetings
• Serve as registered Chief Compliance Officer for DFP’s broker-dealer (BD) clients in limited
circumstances
• Create BD and client relationships via networking with our clients and contacts
• Conduct branch office inspections

Requirements:
• 5+ years relevant experience in BD regulatory compliance
• Detailed knowledge of FINRA rules, SEC Regulations and BD compliance
• Series 7 & 24 licensed required; or must be willing and able to obtain FINRA Series 7 & 24 registrations
with FINRA within 3 months of hire
• Bachelor’s degree in related field
• Ability to work independently, multi-task, manage projects and time effectively
• Excellent communication skills, writing skills, interpersonal skills, and a strong presence
• Strong understanding of the investment banking and institutional brokerage business
• Adaptable personality (to work closely with a highly diverse client base)
• Some travel may be required
• Position open to candidates residing anywhere in the U.S.
• Knowledge of the Investment Advisors Act of 1940 a strong plus, specifically in a compliance officer
capacity
• Knowledge of Trading Desk compliance a plus


Benefits:
Health plans, LTD insurance, Life Insurance, 401 K, PTO, Flex Spending & Commuter Program

Morgan.Lang@TrevosePartners.com 

Job Tags

Permanent employment, Full time,

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