Madison-Davis, LLC ยท 22 hours ago
Senior Compliance Officer - Monitoring And Testing
NYC Metro Area
Full-time
Hybrid
Senior Level
$100K/yr - $140K/yr
5+ years expMadison-Davis, LLC is an investment bank located in Midtown Manhattan, seeking a Senior Compliance Officer - Monitoring And Testing to join their team. This role involves leading the development and execution of compliance testing and monitoring plans, conducting testing engagements, and enhancing collaboration with stakeholders to strengthen compliance functions.
Human ResourcesInformation TechnologyStaffing Agency
Responsibilities
Lead the development and execution of the annual Compliance Testing and Monitoring plan, ensuring thorough, effective assessments
Define the scope of reviews, create detailed testing procedures, and gather supporting evidence for comprehensive evaluations
Conduct testing engagements, preparing detailed reports that highlight exceptions and recommended action plans
Communicate identified deficiencies to business leaders and stakeholders, providing constructive feedback and offering credible challenge
Oversee the remediation of gaps uncovered during testing, ensuring timely and effective resolutions
Build and nurture relationships with key stakeholders globally to enhance collaboration and compliance outcomes
Identify opportunities for improving Monitoring, Testing, and training efforts to strengthen compliance functions
Develop key Testing and Monitoring metrics, contributing to department-wide reporting and performance tracking
Support the management of compliance issues by tracking and addressing findings from compliance reviews
Contribute to the development of a comprehensive rules inventory that aligns with regulations-
Participate in special projects aimed at further enhancing compliance functions across the organization
Collaborate with cross-functional teams to promote a robust culture of compliance firm-wide
Qualification
Required
Lead the development and execution of the annual Compliance Testing and Monitoring plan, ensuring thorough, effective assessments
Define the scope of reviews, create detailed testing procedures, and gather supporting evidence for comprehensive evaluations
Conduct testing engagements, preparing detailed reports that highlight exceptions and recommended action plans
Communicate identified deficiencies to business leaders and stakeholders, providing constructive feedback and offering credible challenge
Oversee the remediation of gaps uncovered during testing, ensuring timely and effective resolutions
Build and nurture relationships with key stakeholders globally to enhance collaboration and compliance outcomes
Identify opportunities for improving Monitoring, Testing, and training efforts to strengthen compliance functions
Develop key Testing and Monitoring metrics, contributing to department-wide reporting and performance tracking
Support the management of compliance issues by tracking and addressing findings from compliance reviews
Contribute to the development of a comprehensive rules inventory that aligns with regulations
Participate in special projects aimed at further enhancing compliance functions across the organization
Collaborate with cross-functional teams to promote a robust culture of compliance firm-wide
Company
Madison-Davis, LLC
Madison-Davis is a staffing and recruiting company offering financial services.
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
Company data provided by crunchbase