Madison-Davis, LLC · 4 days ago
Director of Regulatory Strategy — Global Markets SBSD
NYC Metro Area
Full-time
Hybrid
Director/Executive
$180K/yr - $260K/yrMadison-Davis, LLC is an international investment bank located in Midtown Manhattan, seeking a Director of Regulatory Strategy for their Global Markets SBSD team. The role involves managing regulatory compliance examinations, developing policies, and communicating regulatory requirements to ensure compliance across business units.
Human ResourcesInformation TechnologyStaffing Agency
Responsibilities
Coordinate and manage regulatory compliance examinations, including the preparation and coordination of responses to regulatory inquiries
Develop, maintain, and enhance policies and procedures to ensure adherence to applicable regulatory requirements
Clearly and efficiently communicate new regulatory requirements to relevant business units and stakeholders to promote understanding and compliance
Assess the inherent risks of business units and evaluate the effectiveness of mitigating controls to minimize residual risk, including reputational, regulatory, and operational risks, through a robust surveillance and monitoring program
Design, implement, and maintain compliance systems that align with industry best practices and effectively reduce regulatory risk
Provide guidance on applicable regulations, as well as internal policies and procedures, to internal stakeholders such as trading, sales, and support functions
Review and assess new products and business activities to identify, address, and remediate potential compliance risks
Support the Chief Compliance Officer (CCO) in overseeing the Bank’s security-based swap dealer and swap dealer compliance programs
Contribute to the preparation and completion of the annual CCO report
Qualification
Required
Coordinate and manage regulatory compliance examinations, including the preparation and coordination of responses to regulatory inquiries
Develop, maintain, and enhance policies and procedures to ensure adherence to applicable regulatory requirements
Clearly and efficiently communicate new regulatory requirements to relevant business units and stakeholders to promote understanding and compliance
Assess the inherent risks of business units and evaluate the effectiveness of mitigating controls to minimize residual risk, including reputational, regulatory, and operational risks, through a robust surveillance and monitoring program
Design, implement, and maintain compliance systems that align with industry best practices and effectively reduce regulatory risk
Provide guidance on applicable regulations, as well as internal policies and procedures, to internal stakeholders such as trading, sales, and support functions
Review and assess new products and business activities to identify, address, and remediate potential compliance risks
Support the Chief Compliance Officer (CCO) in overseeing the Bank's security-based swap dealer and swap dealer compliance programs
Contribute to the preparation and completion of the annual CCO report
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
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