Madison-Davis, LLC · 7 hours ago
Compliance Officer
New York, United States
Full-time
Onsite
Mid Level
$120K/yr - $180K/yrMadison-Davis, LLC is a global proprietary trading firm seeking a Compliance Officer for its compliance team. The role involves supporting a fast-paced trading environment by ensuring adherence to market regulations, enhancing compliance processes, and collaborating with various teams to translate regulatory requirements into actionable guidance.
Human ResourcesInformation TechnologyStaffing Agency
Responsibilities
Track regulatory developments and maintain Written Supervisory Procedures (WSPs) and related internal control frameworks
Provide ongoing advisory support on market regulations, industry practices, and compliance risks; convert regulatory requirements into clear, actionable guidance for new products and venues
Manage, operate, and continuously enhance monitoring and surveillance controls to mitigate compliance and operational risk
Leverage in-house technology and third-party platforms to automate compliance processes, including developing and testing code to deliver advanced monitoring and control-testing solutions
Design, implement, and oversee a fully auditable automation framework encompassing version control, testing protocols, change management, and documentation
Qualification
Required
Experience with or basic understanding of SQL and/or Python
Ability to track regulatory developments and maintain Written Supervisory Procedures (WSPs) and related internal control frameworks
Provide ongoing advisory support on market regulations, industry practices, and compliance risks
Convert regulatory requirements into clear, actionable guidance for new products and venues
Manage, operate, and continuously enhance monitoring and surveillance controls to mitigate compliance and operational risk
Leverage in-house technology and third-party platforms to automate compliance processes
Develop and test code to deliver advanced monitoring and control-testing solutions
Design, implement, and oversee a fully auditable automation framework encompassing version control, testing protocols, change management, and documentation
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
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