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Madison-Davis, LLC · 1 hour ago

Equities Compliance Officer

NYC Metro Area

Full-time

Onsite

Mid Level

Madison-Davis, LLC is a globally recognized financial services firm seeking an Equities Compliance Officer. This role provides regulatory guidance and oversight for the Equities business in compliance with U.S. securities laws and SEC/FINRA requirements, while also supporting new product initiatives and conducting risk assessments.

Human ResourcesInformation TechnologyStaffing Agency

Growth Opportunities

H1B Sponsor Likely

Responsibilities

Act as a trusted compliance partner to the Equities business, providing guidance on regulatory requirements, firm policies, and industry standards

Design, implement, and maintain effective compliance frameworks aligned with SEC, FINRA, and other regulatory obligations

Partner with business, legal, risk, and operations teams to support new products, initiatives, and business changes

Monitor regulatory developments and translate requirements into practical policy and control updates

Support regulatory exams, inquiries, and audits, including coordination and response preparation

Strengthen equities surveillance, monitoring, and testing programs to identify and mitigate compliance risk

Develop and deliver targeted compliance training to promote a strong culture of compliance

Conduct risk assessments and drive timely remediation of identified issues and policy gaps

Collaborate across teams to align compliance initiatives with broader business objectives

Qualification

Regulatory complianceEquities surveillanceRisk assessmentCompliance trainingCollaboration

Required