Madison-Davis, LLC · 3 weeks ago
Compliance Officer – Fixed Income (Credit), Vice President
NYC Metro Area
Full-time
Hybrid
Senior Level
$160K/yr - $200K/yrMadison-Davis, LLC is a large global investment bank located in Midtown Manhattan, seeking a Compliance Officer – Fixed Income (Credit), Vice President to join their team. The role involves providing advisory services to the Credit business, ensuring compliance with regulations, and supporting the global compliance monitoring program.
Human ResourcesInformation TechnologyStaffing Agency
Responsibilities
Provide real-time advisory services to the Credit business within FIC Sales & Trading; identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities
Advise business areas on Firm policies and procedures and applicable securities laws and regulations; draft, update, and implement relevant policies and procedures
Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanisms
Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections; interact with federal and state regulators
Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the in the annual monitoring plan
Perform testing and monitoring of compliance with Firm policies and conduct risk assessments of the Business to ensure effective business control framework
Ability to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment
Ability to project confidence and professionalism in dealings with senior business personnel
Qualification
Required
Provide real-time advisory services to the Credit business within FIC Sales & Trading; identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities
Advise business areas on Firm policies and procedures and applicable securities laws and regulations; draft, update, and implement relevant policies and procedures
Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanisms
Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections; interact with federal and state regulators
Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the in the annual monitoring plan
Perform testing and monitoring of compliance with Firm policies and conduct risk assessments of the Business to ensure effective business control framework
Ability to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment
Ability to project confidence and professionalism in dealings with senior business personnel
Company
Madison-Davis, LLC
Madison-Davis is a staffing and recruiting company offering financial services.
Founded in 1982
51-200 employees
H1B Sponsorship
Madison-Davis, LLC has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (22)
2024 (15)
2023 (8)
2022 (3)
2021 (1)
Funding
Current Stage
Growth StageLeadership Team
I
Ian Stewart
Founder and Advisor
Company data provided by crunchbase