Head of Central Compliance jobs in United States
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Madison-Davis, LLC · 23 hours ago

Head of Central Compliance

positionNYC Metro Area
timeFull-time
remoteHybrid
seniorityDirector/Executive

Madison-Davis, LLC is a growing event-based trading marketplace operating under CFTC and NFA oversight, seeking a Head of Central Compliance to lead their compliance framework. This senior leadership role involves overseeing the compliance program, regulatory advisory, and ensuring adherence to CFTC and NFA requirements while collaborating with various departments.

Human ResourcesInformation TechnologyStaffing Agency
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Growth Opportunities
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H1B Sponsor Likelynote

Responsibilities

Lead the firm’s compliance framework and governance, including supervisory controls, compliance risk assessments, annual testing, regulatory filings, and serving as the primary contact for CFTC and NFA examinations and inquiries
Own and maintain enterprise-wide policies and procedures, covering employee trading, trade surveillance, conflicts of interest, communications, recordkeeping, and the Code of Ethics, while partnering with technology and operations to implement effective, system-based controls
Act as a regulatory advisor to the business, providing guidance on CFTC and NFA requirements for derivatives and event-based markets, supporting new product launches, monitoring regulatory developments, and coordinating responses to regulators and external counsel

Qualification

Compliance governanceRegulatory advisoryCFTCNFA knowledgePolicy developmentRisk assessmentsLeadershipCommunication skillsTeam collaboration

Required

Experience in leading compliance frameworks and governance in a financial services environment
Strong knowledge of CFTC and NFA regulations applicable to derivatives and event-based markets
Proven ability to manage compliance risk assessments and regulatory filings
Experience in overseeing employee conduct and training programs
Ability to act as a primary contact for regulatory examinations and inquiries
Experience in providing regulatory advisory services to business units
Strong communication and collaboration skills to partner with various departments including business, operations, and technology

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