Broker-Dealer Supervision Consultant

Stamford, Connecticut Temporary USD700 - USD800 per day
  • Ability to work independently and work in a fast paced environment
  • Opportunity to work directly with senior management

About Our Client

Our client is a broker dealer within a larger investment bank. They engage in brokerage activities, facilitating the buying and selling of securities on behalf of clients in various markets. They provide research, trading, and advisory services to its clients, adhering to regulatory requirements governing broker dealer operations.

Job Description

The Broker Dealer Supervisory Consultant will be responsible for providing subject matter expertise on regulatory and industry standards with respect to supervision of the firms broker dealer activities, opining on appropriate controls and necessary documentation.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

The Broker Dealer Supervisory Consultant should have the following background:

  • At least 7 years of experience in US Broker Dealers, with a focus on Fixed Income
  • Proven experience in advising on or conducting broker dealer supervision, demonstrating a strong understanding of regulatory requirements
  • FINRA Series 24 is REQUIRED
  • Ability to work ON SITE on a HYBRID schedule 3 days/week in Stamford, CT

What's on Offer

The Broker Dealer Supervisory Consultant will be offered a daily market rate. The duration of the assignment is 6-12 months. Michael Page provides our consultants the opportunity to enroll into medical, dental, vision benefits, as well as commuter benefits.

Lauren Dvorscak
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Job summary

Banking & Financial Services
Sub Sector
Compliance & Legal
Financial Services
Contract Type
Consultant name
Lauren Dvorscak
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