Description Our client, a well-established and highly successful Broker Dealer firm, is seeking a skilled Compliance Manager to join their team. This key role works to ensure the firm's adherence to SEC, FINRA, and Exchange regulations, while closely collaborating with trading, operations and risk teams. Key Responsibilities: - Overseeing Consolidated Audit Trail (CAT) compliance and ensure timely regulatory filings. - Testing order handling, execution, and trade reporting (Reg SHO, NMS, Rule 606). - Analyzing order routing disclosures (Rule 606) for regulatory compliance. - Responding to SEC, FINRA, and exchange regulatory inquiries and audits. - Maintaining and enhancing compliance policies, procedures, and testing programs. - Providing management with written reports on compliance risks and corrective actions. - Collaborating with trading, operations, risk, and legal teams to ensure effective compliance controls. - Driving efficiency improvements in compliance oversight and business processes. For immediate consideration please send you resume to Alex.Muzaurieta@roberthalf. Requirements - Bachelor’s degree in Finance or related field - 4+ years of experience in broker-dealer compliance, preferably with equities trading or capital markets experience - CAT reporting experience required - MS Excel proficiency Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles. Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more. All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information. © 2025 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use (https://www.roberthalf.com/us/en/terms) .