VP, Compliance & Registration Oversight jobs in United States
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Madison-Davis, LLC ยท 3 weeks ago

VP, Compliance & Registration Oversight

positionNYC Metro Area
timeFull-time
remoteHybrid
senioritySenior Level
money$110K/yr - $135K/yr

Madison-Davis, LLC is a $275 billion asset management firm based in Midtown Manhattan looking to bring on board a VP, Compliance & Registration Oversight to join their team. This role involves coordinating with Compliance and Human Resources teams to manage regulatory processes and support compliance projects as needed.

Human ResourcesInformation TechnologyStaffing Agency
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Growth Opportunities
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H1B Sponsor Likelynote

Responsibilities

Coordinate with Compliance and Human Resources teams to manage regulatory pre-hire, onboarding, and offboarding processes for broker-dealer personnel
Assist with the preparation and submission of regulatory filings for associated persons, including Forms U4 and U5, fingerprinting, continuing education, and regulatory exams
Ensure accurate and timely maintenance of required document retention and registration records
Support ad hoc compliance projects and initiatives as needed

Qualification

Compliance ExperienceRegulatory ProcessesBroker-Dealer RegistrationDocument Retention ManagementForms U4U5 PreparationEffective CoordinationAttention to DetailOrganizational Skills

Required

Experience in compliance and regulatory processes, particularly in the financial services industry
Strong understanding of broker-dealer registration requirements and associated regulatory filings
Ability to coordinate effectively with Compliance and Human Resources teams
Proven track record of managing document retention and registration records
Experience with preparing and submitting Forms U4 and U5
Strong organizational skills and attention to detail
Ability to support ad hoc compliance projects and initiatives

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