Chief Compliance Officer

Madison-Davis, LLC; Stamford (CT); Sur place; USD 180 000 - 260 000; Plein temps

Résumé du poste

Madison-Davis, LLC is seeking a senior financial services compliance leader to direct the firm's regulatory program in Stamford, CT. You will oversee SEC and FINRA requirements, lead regulatory examinations and inquiries, and shape comprehensive WSPs, policies, and internal controls across the organization.

This role demands broker-dealer expertise, strong leadership, and the ability to advise senior management while coordinating with trading, sales, and support teams.

Qualifications

• Minimum 10 years of financial services compliance experience, preferably within a broker-dealer environment.
• Active FINRA Series 7 and Series 24 licenses.
• Strong knowledge of SEC regulations, FINRA rules, and broker-dealer supervisory requirements.
• Experience overseeing compliance programs, working with compliance teams, and engaging regulators and self-regulatory organizations.
• Strong background in AML compliance, trade surveillance, regulatory monitoring, and employee compliance training.
• Demonstrated experience managing regulatory examinations, internal audits, and remediation initiatives.
• Knowledge of surveillance systems, compliance testing, supervisory controls, and regulatory reporting.
• Strong leadership, communication, analytical, and organizational skills.
• Ability to manage competing priorities, resolve complex regulatory issues, and advise senior stakeholders effectively.
• Familiarity with sales and trading compliance and branch supervision.
• Spanish-language proficiency.

Responsabilités

• Lead the firm's overall compliance strategy, ensuring adherence to SEC, FINRA, and applicable federal and state securities regulations.
• Serve as the primary point of contact for regulatory examinations, inquiries, audits, and supervisory reviews.
• Develop, maintain, and enhance written supervisory procedures (WSPs), compliance policies, and internal control frameworks.
• Oversee trade surveillance, transaction monitoring, and supervisory controls to identify potential regulatory violations and market conduct risks.
• Manage the firm's AML compliance program, including suspicious activity monitoring, investigations, SAR filings, and employee training.
• Provide ongoing regulatory guidance to executive leadership, sales and trading teams, and other business stakeholders.
• Supervise compliance reviews covering employee trading, outside business activities, political contributions, and other regulated activities.
• Conduct periodic inspections of branch offices and Offices of Supervisory Jurisdiction (OSJs), addressing identified deficiencies.
• Oversee regulatory compliance for advertising, research materials, electronic communications, and other public-facing content.
• Coordinate regulatory filings, compliance reporting, and responses to examination findings.
• Develop and deliver compliance training and continuing education initiatives.
• Identify emerging regulatory risks and implement corrective measures to strengthen the firm's compliance environment.

Connaissances

Broker-dealer compliance

FINRA supervision

Regulatory examinations

AML compliance

Trade surveillance

Regulatory reporting

Leadership

Spanish language

Communication

Analytical ability

Formation

Bachelor's degree in Finance/Business/Law

Equivalent professional experience

Series 7 & 24 licenses

Description du poste

RESPONSIBILITIES

• Lead the firm's overall compliance strategy, ensuring adherence to SEC, FINRA, and applicable federal and state securities regulations.
• Serve as the primary point of contact for regulatory examinations, inquiries, audits, and supervisory reviews.
• Develop, maintain, and enhance written supervisory procedures (WSPs), compliance policies, and internal control frameworks.
• Oversee trade surveillance, transaction monitoring, and supervisory controls to identify potential regulatory violations and market conduct risks.
• Manage the firm's AML compliance program, including suspicious activity monitoring, investigations, SAR filings, and employee training.
• Provide ongoing regulatory guidance to executive leadership, sales and trading teams, and other business stakeholders.
• Supervise compliance reviews covering employee trading, outside business activities, political contributions, and other regulated activities.
• Conduct periodic inspections of branch offices and Offices of Supervisory Jurisdiction (OSJs), addressing identified deficiencies.
• Oversee regulatory compliance for advertising, research materials, electronic communications, and other public-facing content.
• Coordinate regulatory filings, compliance reporting, and responses to examination findings.
• Develop and deliver compliance training and continuing education initiatives.
• Identify emerging regulatory risks and implement corrective measures to strengthen the firm's compliance environment.

QUALIFICATIONS

• Minimum 10 years of financial services compliance experience, preferably within a broker-dealer environment.
• Active FINRA Series 7 and Series 24 licenses.
• Bachelor's degree in Finance, Business, Law, or a related discipline, or equivalent professional experience.
• Comprehensive understanding of SEC regulations, FINRA rules, and broker-dealer supervisory requirements.
• Experience overseeing compliance programs, working with compliance teams, and engaging directly with regulators and self-regulatory organizations.
• Strong background in AML compliance, trade surveillance, regulatory monitoring, and employee compliance training.
• Demonstrated experience managing regulatory examinations, internal audits, and remediation initiatives.
• Knowledge of surveillance systems, compliance testing, supervisory controls, and regulatory reporting.
• Strong leadership, communication, analytical, and organizational skills.
• Ability to manage competing priorities, resolve complex regulatory issues, and advise senior stakeholders effectively.
• PREFERRED EXPERIENCE Previous experience in a senior broker-dealer compliance leadership position.
• Familiarity with sales and trading compliance and branch supervision.
• Spanish-language proficiency.