OFFICE LOCATIONS

Washington, DC Metro Office
107 Royal Street, SW
Suite C
Leesburg, VA 20175
703-779-8860 (phone)
703-779-8099 (fax)

New York, NY Office
250 Park Avenue
7th Floor
New York, NY 10177
212-572-4883 (phone)
212-572-6499 (fax)

Careers at Frontline Compliance. Regulatory Experts. Compliance Consultants.

Careers at FrontLine Compliance - Join Our Team!

BROKER-DEALER CONSULTANT

We are currently seeking Consultants with Broker-Dealer regulatory compliance experience. Experience as a former or current FINRA or SEC examiner with a history of working with broker-dealers is required for this position. Other applicants will not be considered.

Description:

Expanding, cutting edge compliance consulting firm is seeking skilled and energetic individuals for multi-faceted broker-dealer compliance projects. The Broker-Dealer Consultant would become part of a highly skilled, entrepreneurial team of compliance professionals, and would offer their expertise in the following broker-dealer compliance areas:

Review and draft WSPs and other policies and procedures
Rule 3012 Annual Review
Forensic Testing and Risk Assessments
Mock Regulatory Audits
Anti-Money Laundering (AML) Annual Reviews
FINRA and State registrations and filings
Advertising and marketing reviews
Trading compliance reviews
Compliance evaluations and written reports of recommendations
Compliance program implementation
Product reviews and analysis

Requirements:

The ideal candidate will have a minimum of 10 years experience in broker-dealer compliance, with expertise in NASD/FINRA rules and regulations, MSRB rules, the Securities Act of 1933 and the Exchange Act of 1934. The candidate should possess solid writing abilities and exceptional communication skills. Bachelor's Degree in Finance, Business, Accounting, or related field required. Certified Regulatory Compliance Professional (CRCP) or equivalent certification desired.

We offer a competitive compensation rate based on the candidate’s level of experience. Relocation is not necessary. Some travel is required (less than 25 percent).

To be considered, please email your resume to careers@frontlinecompliance.com or fax to 703-779-8099.

FrontLine Compliance is an Equal Opportunity Employer. Qualified applicants will be considered without regard to race, religion, age, ancestry, national origin, sex, sexual orientation, marital status, disability, or medical condition.