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Madison-Davis, LLC · 4 hours ago

Head of Central; Compliance

NYC Metro Area

Full-time

Onsite

Director/Executive

$200K/yr - $300K/yr

Madison-Davis, LLC is a leading Broker Dealer firm, and they are seeking a Head of Central Compliance for their New York City office. This leadership role involves overseeing the firm's Compliance framework and managing day-to-day operations across the Americas.

Human ResourcesInformation TechnologyStaffing Agency

Growth Opportunities

H1B Sponsor Likely

Responsibilities

Oversee personal account dealing systems and related controls

Design, implement, and govern the compliance policy framework, including periodic reviews and updates

Monitor, assess, and communicate key regulatory developments

Administer regulatory registrations, continuing education tracking, and information barrier frameworks

Maintain books and records compliance and coordinate firmwide compliance training

Lead compliance risk assessments, testing programs, and required annual reviews and certifications

Oversee ongoing regulatory reporting obligations and event-driven filings and notifications

Manage regulatory examinations and inquiries, including coordination, tracking, and response preparation

Qualification

Compliance framework designRegulatory monitoringRisk assessmentRegulatory registrationsLeadership

Required