Madison-Davis, LLC · 7 hours ago
Compliance & Regulatory Advisor
NYC Metro Area
Full-time
Onsite
Senior Level
$140K/yr - $200K/yrMadison-Davis, LLC is a global financial institution seeking a senior-level Compliance & Regulatory Advisor within their Broker-Dealer Regulatory Governance & Advisory team. The role focuses on regulatory advisory, supporting SEC/FINRA exams, coordinating compliance responses, and providing guidance on regulatory matters.
Human ResourcesInformation TechnologyStaffing Agency
Responsibilities
Provide compliance guidance and challenge to business and support teams on regulatory and compliance matters
Escalate potential conduct issues, incidents, and material non-compliance
Assist in managing regulatory inquiries, exams, applications, and filings
Support remediation efforts from regulatory actions and self-reporting decisions
Prepare management reporting and materials for governance committees and internal working groups
Coordinate compliance policy and procedure reviews, updates, and approvals across the organization
Assist in designing and delivering compliance training and communications, including alerts and reminders
Track and support remediation of compliance issues and corrective action plans
Participate in compliance technology evaluation and implementation
Identify gaps and recommend process improvements in response to regulatory changes or operational needs
Qualification
Required
Senior-level experience in a Broker-Dealer Regulatory Governance & Advisory team
Experience with regulatory engagement, governance, and coordination across the broker-dealer platform
Ability to support SEC/FINRA exams and inquiries
Experience coordinating responses across Compliance, Legal, Risk, and senior stakeholders
Ability to provide practical guidance to the business
Exposure to governance and reporting
Experience in regulatory change management
Experience in compliance program enhancements
Ability to provide compliance guidance and challenge to business and support teams on regulatory and compliance matters
Ability to escalate potential conduct issues, incidents, and material non-compliance
Experience managing regulatory inquiries, exams, applications, and filings
Ability to support remediation efforts from regulatory actions and self-reporting decisions
Experience preparing management reporting and materials for governance committees and internal working groups
Ability to coordinate compliance policy and procedure reviews, updates, and approvals across the organization
Experience designing and delivering compliance training and communications, including alerts and reminders
Ability to track and support remediation of compliance issues and corrective action plans
Experience participating in compliance technology evaluation and implementation
Ability to identify gaps and recommend process improvements in response to regulatory changes or operational needs
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
Company data provided by crunchbase