Compliance Project Manager - Broker Dealer Services

We are seeking an experienced Compliance Project Manager with extensive expertise in broker-dealer services and financial regulatory compliance to join a high-performing team within a leading Hedge Fund in New York City. This is an exciting 12-month contract opportunity for a seasoned professional to lead the development of a Broker Dealer Services framework, enhancing regulatory adherence, operational efficiency, and risk mitigation. The ideal candidate will be a subject matter expert in broker-dealer operations and possess a deep understanding of US and global regulatory frameworks.

This role is perfect for a proactive leader with a strong background in hedge funds, broker-dealers, or prime brokerage, who can define policies, build scalable infrastructure, and drive end-to-end compliance initiatives in a fast-paced environment.

Responsibilities:

• Act as a subject matter expert (SME) on broker-dealer regulations, including SEC, FINRA, CFTC, and applicable global frameworks, ensuring robust compliance and risk management.
• Lead the end-to-end development of the Broker Dealer Services framework, from defining policies and procedures to building scalable infrastructure and ensuring operational excellence.
• Collaborate with compliance, operations, legal, and technology teams to enhance capabilities in regulatory adherence, operational efficiency, and risk mitigation.
• Design and implement processes to support broker-dealer activities, ensuring scalability and alignment with organizational goals.
• Interpret regulatory requirements, assess their impact on operations, and drive strategic solutions to maintain compliance.
• Manage stakeholder relationships, leading initial discussions, overseeing project delivery, and influencing senior leadership with clear, actionable insights.
• Support regulatory audits, examinations, and inquiries, ensuring preparedness and alignment with industry standards.

Requirements

• Bachelor’s degree in Finance, Business, Law, or a related field.
• 10+ years of experience in financial services, with a strong focus on hedge funds, broker-dealers, or prime brokerage.
• Extensive knowledge of SEC, FINRA, CFTC, and global regulatory frameworks governing broker-dealer activities.
• Proven experience in defining policies, building compliance infrastructure, and ensuring scalability within a regulatory context.
• Strong project management skills, with a track record of leading end-to-end initiatives from inception to implementation.
• Exceptional analytical and problem-solving abilities, with the capacity to design and optimize processes in a complex, fast-paced environment.
• Excellent communication skills, with the ability to influence senior stakeholders and collaborate effectively across teams.
• Hands-on experience in regulatory compliance within financial services, ideally with broker-dealer operations.

Benefits

• Corp to Corp rate of $900–$1000 per day.
• 12-month contract with an immediate start.
• Fully onsite role requiring 5 days a week in the office.