Capital Markets Compliance Lead - Public Finance

Madison-Davis, LLC; Dallas (TX); On-site; USD 90,000 - 160,000; Full time

Job summary

Madison-Davis, LLC, in Dallas, TX, seeks a seasoned Regulatory Compliance professional to support Public Finance, Capital Markets, and Fixed Income teams. The role requires interpreting complex FINRA/SEC rules and strengthening internal controls across supervisory procedures.

The ideal candidate will hold a FINRA Series 7 license, have 3–7 years in broker-dealer compliance or related fields, and possess strong analytical and communication skills to explain regulatory requirements to stakeholders.

Qualifications

• Bachelor's degree, preferably in Business, Finance, or related discipline.
• 3–7 years of experience in broker-dealer compliance, supervision, regulatory affairs, audit, legal, or related financial services functions.
• Direct experience supporting Public Finance, Municipal Securities, Capital Markets, or Fixed Income activities.
• FINRA Series 7 license required.
• Working knowledge of FINRA, SEC, MSRB, CFTC, and NFA regulations relevant to institutional securities and financial markets.
• Understanding of broker-dealer supervisory requirements, compliance controls, and surveillance practices.
• Strong written and verbal communication skills.
• Ability to explain complex regulatory requirements clearly to business stakeholders.
• Proficiency in Microsoft Word, Excel, PowerPoint, and Outlook.

Responsibilities

• Provide day-to-day compliance guidance to Public Finance, Capital Markets, Fixed Income, and Commodities teams. Interpret and apply FINRA, SEC, MSRB, CFTC, and NFA regulatory requirements.
• Review and enhance written supervisory procedures, compliance policies, and internal controls. Identify potential regulatory violations and supervisory weaknesses.
• Coordinate responses to regulatory inquiries, examinations, audits, and documentation requests; prepare compliance reports and supporting regulatory documentation.

Skills

Regulatory compliance

Regulatory interpretation

Analytical skills

Communication skills

Microsoft Office

Education

Bachelor's degree in Business/Finance or related

Tools

Microsoft Word

Microsoft Excel

PowerPoint

Outlook

Job description

Madison-Davis, LLC, in Dallas, TX, seeks a seasoned Regulatory Compliance professional to support Public Finance, Capital Markets, and Fixed Income teams. The role requires interpreting complex FINRA/SEC rules and strengthening internal controls across supervisory procedures.

The ideal candidate will hold a FINRA Series 7 license, have 3–7 years in broker-dealer compliance or related fields, and possess strong analytical and communication skills to explain regulatory requirements to stakeholders.