What are the responsibilities and job description for the Compliance Officer position at G MASS?
G MASS Consulting are partnered with a leading Hedge Fund to appoint an experienced Compliance Officer who will take ownership of day-to-day regulatory governance and provide line-of-business coverage across its U.S. broker-dealer, with a particular focus on Operations, Treasury, and Finance interfaces.
This role will provide hands-on oversight of the firm’s regulatory calendar, controls, examinations, and filings, ensuring the broker-dealer maintains a fully compliant and exam-ready environment. You will lead key governance functions including registrations, disclosures, WSP enhancements, and books-and-records oversight, while working closely with Finance, Operations, and Central Compliance to uphold a strong and scalable control framework.
Responsibilities:
- Own the broker-dealer’s regulatory governance program and calendar, tracking FINRA/SEC/DEA obligations, evidence requirements, and regulatory task queues.
- Provide day-to-day compliance oversight and guidance to stakeholders to manage regulatory and operational risk.
- Manage regulatory reporting and disclosures, including CAT/CAIS, Blue Sheets, LOPR, and short-interest, with checks, evidence maintenance, and remediation.
- Coordinate exams, audits, and regulatory inquiries, including Rule 3120 reviews, vendor assessments, exam-readiness planning, and remediation tracking.
- Oversee registrations, licensing (U4/U5, representative/principal frameworks), Form BD/BR filings, and membership documentation lifecycles, including attestations and QC reviews.
- Maintain and uplift the supervisory framework and WSPs for Treasury, including controls, attestations, and policy updates.
- Oversee books-and-records compliance under SEC Rules 17a-3/17a-4, ensuring documentation, retention controls, and audit trails; partner on compliance testing and risk assessments.
- Support governance and training by co-running BD Governance meetings, contributing to training needs assessments, and liaising with Finance, Operations, and Technology on key regulatory rules and compliance solutions.
- 7 years U.S. broker-dealer compliance or assurance experience, with SEC/FINRA exposure; FINRA Series 7, 14, 27, or 99 preferred.
- Hands-on experience with FINRA Gateway, CAT/CAIS, EBS/LOPR, short-interest filings, and compliance tools (AuditBoard, PolicyHub, SharePoint, JIRA).
- Strong knowledge of FINRA Rules 3110/3120/3130/3310, SEC 17a-3/17a-4, and Finance/Operations interfaces (15c3-1 / 15c3-3).
- Proven experience managing exams, mock exams, evidence packs, findings, and remediation plans.
Initial 12-month contract.
Paying up to $1,000 per day (C2C).
5 days a week in the office.