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Madison-Davis, LLC · 1 day ago

Compliance Associate

NYC Metro Area

Full-time

Onsite

New Grad, Entry Level

Madison-Davis, LLC is supporting a Compliance Associate role with a global investment management firm. The role focuses on monitoring daily trading activity and holdings to ensure alignment with client guidelines, internal policies, and regulatory requirements.

Human ResourcesInformation TechnologyStaffing Agency

Growth Opportunities

H1B Sponsor Likely

Responsibilities

Review and resolve post-trade compliance alerts and daily trading reports in partnership with trading and operations teams

Support client and regulatory reporting in collaboration with Compliance, Legal, Portfolio Management, Relationship Management, and IT

Identify and implement process improvements within the portfolio compliance program

Maintain restricted lists, monitor account restrictions, and prepare client certifications and regulatory disclosures

Ensure compliance documentation is current, perform reconciliations, manage team requests, and support ad hoc projects

Qualification

Regulatory reportingCompliance monitoringProcess improvementProblem solvingCollaboration

Required

Experience in compliance within the investment management industry

Strong understanding of regulatory requirements and client guidelines

Ability to review and resolve post-trade compliance alerts

Experience in preparing client certifications and regulatory disclosures

Strong analytical and problem-solving skills

Ability to collaborate with various teams including Compliance, Legal, Technology, and Portfolio Management

Experience in managing restricted lists and monitoring account restrictions

Preferred

Experience with regulatory reporting

Familiarity with trading desk operations

Experience in process improvement initiatives

Company

Madison-Davis, LLC

Madison-Davis is a staffing and recruiting company offering financial services.

Founded in 1982

Tarrytown, New York, USA

51-200 employees

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

Ian Stewart

Founder and Advisor

Company data provided by crunchbase