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Madison-Davis, LLC · 2 weeks ago

Senior Compliance Oversight Lead

NYC Metro Area

Full-time

Hybrid

Senior Level

$125K/yr - $140K/yr

Madison-Davis, LLC is an investment bank located in Midtown Manhattan, and they are seeking a Senior Compliance Oversight Lead to join their team. This role involves supporting the development and oversight of the Compliance Monitoring program, partnering with global teams, and ensuring effective monitoring activities.

Human ResourcesInformation TechnologyStaffing Agency

Growth Opportunities

H1B Sponsor Likely

Responsibilities

Support the development and ongoing oversight of the Compliance Monitoring program

Partner with global teams to design, enhance, and implement effective Monitoring Activities (MAs)

Assess and refine monitoring scopes and sampling strategies to improve efficiency and execution; ensure proper documentation and evidence retention

Perform Quality Assurance reviews of monitoring activities to ensure alignment with enterprise standards

Maintain and update procedures, templates, and related compliance documentation

Assist in building and executing the Compliance Oversight program

Review first-line testing methodologies and execution within the Oversight framework to ensure effectiveness

Track and report on program progress through the development of management information system (MIS) reports

Identify and communicate control weaknesses or deficiencies to stakeholders, offering credible challenge where necessary

Support issue management processes and promote a strong culture of compliance across the organization

Participate in cross-functional working groups focused on Monitoring and Oversight initiatives

Contribute to special projects aimed at strengthening the Core Compliance function

Qualification

Compliance MonitoringQuality AssuranceDocumentation ManagementRisk AssessmentCross-functional Collaboration

Required