Chief Compliance Officer - Scale Regulated FinTech

Madison-Davis, LLC; 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

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