Compliance Advisory Specialist- Consultant

Stamford Temporary
  • Consultant opportunity at an investment management firm in Stamford, CT
  • Immediately available consultant assignment

About Our Client

Our client is a global investment management company with an office based in Stamford, CT. Our client is seeking an SME for a Compliance Advisory Specialist that can assist with the swap dealer/broker dealer business.

Job Description

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 Compliance Advisory Specialist with be responsible for the following:

  • Providing compliance and regulatory support to the investment management firm's business in the U.S. (including the non-US Swap Dealer and the US broker-dealer).
  • Support the review and implementation of regulatory changes and industry developments in the U.S.
  • Provide Compliance Advisory coverage of the Swap Dealer business in accordance with the CFTC and NFA rules and regulations.
  • Prior experience working within a legal or compliance functions of a Swap Dealer or a broker-dealer.

The Successful Applicant

The Compliance Advisory Specialist should have the following background:

  • College/University Degree
  • 12+ years of swap dealer/broker dealer experience
  • SME knowledge of NFA/CFTC Rules and Regulations
  • Prior experience implementing and drafting regulatory changes to a companies compliance program

What's on Offer

Our client is offering a competitive market rate (hourly), Overtime eligibility, benefits (medical/dental), and is providing candidates a flexibly working environment.

Lauren Dvorscak
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Lauren Dvorscak
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