CCO

Madison-Davis; New York (NY); Sur place; USD 280 000 - 420 000; Plein temps

Résumé du poste

Madison-Davis, LLC is seeking a Chief Compliance Officer to lead enterprise-wide compliance across advisory, broker-dealer, and registered fund operations. The role entails directing regulatory interactions, shaping policies, and partnering with senior leaders to balance regulatory duties with business growth.

The ideal candidate will bring deep experience in regulated financial services, strong governance skills, and a hands-on leadership style to build a scalable compliance function in a

Qualifications

• Extensive experience leading compliance programs within regulated financial services organizations.
• Strong working knowledge of investment adviser, broker-dealer, and registered investment company regulatory frameworks.
• Experience interacting with regulatory agencies, managing examinations, and overseeing remediation initiatives.
• Demonstrated ability to develop and enhance enterprise compliance programs in evolving regulatory environments.
• Proven success partnering with senior executives to balance regulatory obligations with commercial objectives.

Responsabilités

• Lead the firm's compliance program across advisory, broker-dealer, and fund operations, ensuring controls remain effective.
• Evaluate regulatory developments and translate changes into practical policies and guidance.
• Review new products and initiatives to identify regulatory risks and implement controls before launch.
• Direct regulatory examinations and manage interactions with federal and self-regulatory agencies.
• Maintain audit-ready documentation, controls, and processes across the enterprise.
• Oversee compliance programs supporting marketing activities, third-party oversight, and vendor risk management.
• Partner with Legal, Product, Finance, and Distribution to embed compliance in strategic initiatives from inception.
• Foster a culture of ethics and regulatory awareness through training and proactive engagement.
• Recruit, mentor, and scale a high-performing compliance team.

Description du poste

A rapidly growing alternative investment firm operating at the intersection of financial services and digital assets is seeking an experienced Chief Compliance Officer to lead its enterprise-wide compliance function. This executive will oversee regulatory compliance across multiple registered entities and investment products while helping the business scale responsibly in a dynamic regulatory environment. Reporting to the Chief Legal Officer, the Chief Compliance Officer will establish and enhance a comprehensive compliance framework, provide strategic guidance to senior leadership, and build a high-performing team. This role is ideal for a hands-on leader who combines deep regulatory knowledge with a collaborative, business-oriented approach.

RESPONSIBILITIES

• Lead the firm's compliance program across registered investment advisory, broker-dealer, and registered fund operations, ensuring policies, controls, testing, and supervisory processes remain effective and current.
• Evaluate regulatory developments and emerging requirements, translating changes into practical policies, procedures, and business guidance.
• Review new investment products, business initiatives, and strategic offerings to identify regulatory risks and recommend appropriate controls before launch.
• Direct regulatory examinations and ongoing interactions with federal and self-regulatory agencies, coordinating responses, documentation, and remediation efforts.
• Maintain strong regulatory readiness by ensuring documentation, controls, and compliance processes are consistently audit-ready.
• Oversee compliance programs supporting marketing activities, third-party oversight, and vendor risk management.
• Serve as a trusted advisor to executive leadership by providing practical guidance on complex regulatory matters while supporting business growth and innovation.
• Partner with Legal, Product, Finance, Distribution, and other business functions to integrate compliance considerations into strategic initiatives from inception through execution.
• Foster a culture of ethics, accountability, and regulatory awareness through training, communication, and proactive engagement across the organization.
• Recruit, mentor, and lead a growing compliance organization, establishing scalable processes and developing future leaders within the team.

Ideal Background

• Extensive experience leading compliance programs within regulated financial services organizations.
• Strong working knowledge of investment adviser, broker-dealer, and registered investment company regulatory frameworks.
• Experience interacting with regulatory agencies, managing examinations, and overseeing remediation initiatives.
• Demonstrated ability to develop and enhance enterprise compliance programs in evolving regulatory environments.
• Proven success partnering with senior executives and business leaders to balance regulatory obligations with commercial objectives.
• Hands-on leadership style with experience building, developing, and managing high-performing compliance teams.
• Excellent judgment, communication, and stakeholder management skills, with the ability to simplify complex regulatory issues into practical business solutions.