Compliance Consultant

Location New York
Contact name: John Bute

Contact email:
Job ref: 1230
Supervisory Consultant
Investment Banking
New York, New York – Up to $900pd

Gresham Hunt is currently partnered with a leading Investment Bank firm in their search for a Supervisory Consultant.

Our client is an investment bank with trading operations across Fixed Income and FX. They are a dynamic firm, and this role comes with good exposure to a wide range of wholesale banking compliance matters.

They are looking for a Consultant to come in on a 6 month project to oversee their supervisory controls as it relates to their Fixed Income Broker-Dealer.

Candidates must have the following:
  • Great knowledge of FINRA BrokerDealer rules
  • Demonstrable experience of leading firms through 3120 supervisions
  • Holistic vision of compliance controls within a Fixed Income trading environment
  • Strong stakeholder management skills
  • A legal, regulatory, or trade surveillance background would be desirable
My client is especially interested in candidates that hold a FINRA Series 24 licence.

Candidates must be based in the US with full and unrestricted right to work. Unfortunately visa sponsorship is not available at this time.

For more information, please forward your resume to: