Director of Regulatory Supervision jobs in United States
cer-icon
Apply on Employer Site
company-logo

Madison-Davis, LLC · 23 hours ago

Director of Regulatory Supervision

positionNYC Metro Area
timeFull-time
remoteHybrid
seniorityDirector/Executive

Madison-Davis, LLC is a leading U.S. Global Markets team focused on building a modern trading platform. They are seeking a Director of Regulatory Supervision to oversee trading activity, manage regulatory risk, and provide guidance to business teams.

Human ResourcesInformation TechnologyStaffing Agency
check
Growth Opportunities
check
H1B Sponsor Likelynote

Responsibilities

Oversee and conduct surveillance of U.S. registered broker-dealer trading activity across securities and OTC derivatives/swaps, with primary coverage of Cash Equities, Program Trading, DMA, listed and OTC equity derivatives, Delta One products, and ETF create/redeem activity
Support surveillance of regulatory reporting obligations, including CAT, Nasdaq TRF, and LOPR
Maintain, enhance, and document internal policies and Written Supervisory Procedures (WSPs) to ensure compliance with applicable trading regulations (SEC, FINRA, CFTC, NFA, and other regulators)
Ensure WSPs clearly demonstrate evidence of review and regulatory-ready documentation, including defined KPIs and escalation frameworks

Qualification

Regulatory complianceSurveillanceMonitoringWritten Supervisory ProceduresTrading regulations knowledgeCollaboration with project teamsGuidance to personnelEscalation of issues

Required

Experience in supervising U.S. sales and trading desks across cash equities, derivatives, and OTC swap products
Ability to oversee regulatory compliance through surveillance and monitoring
Experience in maintaining and enhancing Written Supervisory Procedures (WSPs)
Capability to provide guidance to trading floor personnel and business management
Experience in escalating significant issues to senior leadership
Collaboration skills to work with project and infrastructure teams to implement regulatory solutions
Experience assisting Compliance with regulatory inquiries and examinations
Knowledge of evolving SEC, FINRA, CFTC, and other trading regulations
Experience overseeing and conducting surveillance of U.S. registered broker-dealer trading activity across securities and OTC derivatives/swaps
Support for surveillance of regulatory reporting obligations, including CAT, Nasdaq TRF, and LOPR
Ability to maintain, enhance, and document internal policies and Written Supervisory Procedures (WSPs) to ensure compliance with applicable trading regulations
Ensuring WSPs demonstrate evidence of review and regulatory-ready documentation, including defined KPIs and escalation frameworks

Company

Madison-Davis, LLC

twittertwitter
company-logo
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
linkedin
Company data provided by crunchbase