Registrations Compliance Manager jobs in United States
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Madison-Davis, LLC ยท 3 weeks ago

Registrations Compliance Manager

positionNYC Metro Area
timeFull-time
remoteOnsite
seniorityMid, Senior Level
money$150K/yr - $300K/yr

Madison-Davis, LLC is a well-established Global Trading company seeking a Registrations Compliance Manager to join their team. The role involves managing compliance teams, overseeing regulatory filings, and driving process improvements within the organization.

Human ResourcesInformation TechnologyStaffing Agency
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Growth Opportunities
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H1B Sponsor Likelynote

Responsibilities

Managing the Registrations and Personal Account trading teams within our larger Employee Compliance team, providing oversight, guidance, and support on day-to-day operations
Identifying areas for improvement within current processes and driving modernization initiatives, including around vendor and system upgrades
Overseeing the full lifecycle of employee registration and regulatory filings, including Form U4/U5, onboarding exchange forms, fingerprinting, background checks, and disclosure updates
Ensuring timely and accurate completion of regulatory requirements and responses to internal and external inquiries, including maintaining supervisory reporting lines and organizational trees
Serving as the first point of escalation for team questions
Collaborating closely with compliance leadership to bridge gaps and ensure consistent standards across teams
Coordinating with external vendors to ensure smooth implementation of new systems or processes
Staying abreast of developments in the regulatory landscape and proactively adapting team practices as needed

Qualification

Regulatory complianceEmployee registrationProcess improvementVendor managementTeam leadershipCommunication skills

Required

Experience managing Registrations and Personal Account trading teams
Ability to provide oversight, guidance, and support on day-to-day operations
Experience identifying areas for improvement within current processes
Experience driving modernization initiatives, including vendor and system upgrades
Knowledge of the full lifecycle of employee registration and regulatory filings, including Form U4/U5
Experience with onboarding exchange forms, fingerprinting, background checks, and disclosure updates
Ability to ensure timely and accurate completion of regulatory requirements
Experience responding to internal and external inquiries
Ability to maintain supervisory reporting lines and organizational trees
Experience serving as a point of escalation for team questions
Ability to collaborate closely with compliance leadership
Experience coordinating with external vendors
Knowledge of developments in the regulatory landscape

Company

Madison-Davis, LLC

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Madison-Davis is a staffing and recruiting company offering financial services.
dateFounded in 1982
location
Tarrytown, New York, USA
people-size51-200 employees
web-link
http://tmdg.com

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 Stage

Leadership Team

I
Ian Stewart
Founder and Advisor
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Company data provided by crunchbase