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Madison-Davis, LLC · 3 weeks ago

VP, Compliance - Regulatory Initiatives - Policies and Procedures

NYC Metro Area

Full-time

Hybrid

Senior Level

$140K/yr - $180K/yr

Madison-Davis, LLC is an investment bank located in Midtown Manhattan, looking to bring on board a VP of Compliance to join their team. This role involves drafting and updating regulatory compliance policies, collaborating with stakeholders, and managing compliance processes while ensuring adherence to regulations and best practices.

Human ResourcesInformation TechnologyStaffing Agency

Growth Opportunities

H1B Sponsor Likely

Responsibilities

Draft, review, and update regulatory compliance policies and procedures to ensure alignment with evolving regulations and industry best practices

Collaborate with internal stakeholders, subject matter experts, and governance teams to develop and approve compliance materials

Establish and manage processes for policy governance, review, and approval, including reporting to senior management and regulators

Support the development and maintenance of the policy and procedure portal, ensuring content is accurate and accessible

Communicate policy updates to stakeholders and onboard new hires to ensure understanding and compliance

Participate in regulatory change management initiatives and respond to audit or regulatory inquiries related to compliance documentation

Contribute to remediation efforts and lead or support special projects focused on compliance enhancements and procedural improvements

Serve as a subject matter expert, independently managing specialized compliance functions, liaising with regulators and auditors

Qualification

Regulatory compliancePolicy governanceStakeholder collaborationCompliance documentationCommunication skills

Required