Madison-Davis, LLC · 4 days ago
Compliance Officer
Greenwich, CT
Full-time
Onsite
Mid Level
$200K/yr - $245K/yrMadison-Davis, LLC is supporting a Compliance Analyst role within the Trading Compliance team at a leading global investment firm. The role involves developing and executing the compliance program for trading activities, conducting research on regulations, and leading trade surveillance monitoring while collaborating with engineering teams to enhance compliance processes.
Human ResourcesInformation TechnologyStaffing Agency
Responsibilities
Play a key role in helping the HoTC build the compliance program for a world class quant fund
Conduct targeted research of rules and regulations
Assist in implementing and maintaining a regulatory horizon scanning process to ensure the Firm is current with regulatory change
Provide clear and concise summaries of rules and regulatory developments that are actionable for the HoTC and other senior stakeholders
Assist with the Firm’s regulatory reporting obligations (e.g., EU short position disclosure reporting) including helping the HoTC in the efforts to review and improve upon existing reporting processes and execute on certain filing obligations
Support the build-out and enhancement of pre-trade and post-trade controls, including working with engineering teams to refine automated surveillance logic, calibrate thresholds, and validate data inputs
Lead the trade surveillance monitoring process including review, investigation and management of market abuse exceptions and limit breaches
Assist in reviewing and approving new trading strategies, venues, counterparties, and products, ensuring regulatory and internal requirements are met
Participate in periodic risk assessments and control testing, helping the HoTC identify gaps, propose enhancements, and track remediation
Contribute to training initiatives, including designing modules that help educate quants, engineers, and traders on relevant rules and compliance expectations
Qualification
Required
Experience in compliance within a trading environment
Strong understanding of financial regulations and compliance frameworks
Ability to conduct research on rules and regulations
Experience in summarizing actionable insights for senior stakeholders
Familiarity with regulatory reporting obligations
Experience in developing and enhancing pre-trade and post-trade controls
Ability to collaborate with engineering teams
Experience in trade surveillance monitoring
Ability to review and investigate market abuse exceptions and limit breaches
Experience in reviewing and approving trading strategies, venues, counterparties, and products
Ability to participate in risk assessments and control testing
Experience in designing training modules for compliance education
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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