Chief Securities & Compliance Officer

Madison-Davis, LLC; United States; A distancia; USD 300.000 - 420.000; Jornada completa

Descripción de la vacante

Madison-Davis, LLC is partnering with an innovative fintech to recruit its first senior legal leader to build and oversee the legal function while advising executive leadership in a highly regulated environment.

You will lead all legal matters across the business, including governance, securities regulation, financings, contracts, privacy, and equity compensation; build scalable processes; and manage outside counsel.

Formación

• J.D. and active bar membership in good standing.
• 10+ years of securities law experience.
• Strong knowledge of U.S. Securities regulations governing market participants and financial market infrastructure.
• Experience advising executive leadership and balancing legal risk with practical business objectives.
• Ability to operate independently as the senior legal leader while knowing when to leverage outside counsel.
• Experience building, leading, or overseeing compliance programs is highly desirable.
• Excellent communication skills with the ability to interact confidently with executives, regulators, financial institutions, and external stakeholders.
• Interest in emerging financial technologies, digital assets, or tokenized securities is preferred.
• Preferred Experience: Background supporting regulated capital markets organizations or financial infrastructure providers.
• Familiarity with regulatory examinations and compliance reporting.
• Experience with corporate actions, escrow or paying agent services, securities operations, or similar financial market activities.
• Knowledge of state regulatory requirements affecting financial services operations.
• Experience supporting venture-backed or high-growth companies through expansion, fundraising, or strategic transactions.
• Participation in industry working groups, regulatory initiatives, or thought leadership related to evolving securities regulation.

Responsabilidades

• Lead all legal matters across the business, including corporate governance, board support, financings, commercial contracts, employment, intellectual property, privacy, insurance, and equity compensation.
• Serve as the company’s primary legal advisor on securities regulation and market infrastructure requirements.
• Build scalable legal processes, contract standards, and governance practices to support continued growth.
• Advise senior leadership and the board on legal, regulatory, and business risk related to strategic initiatives, partnerships, acquisitions, and fundraising.
• Manage outside counsel while maintaining high-quality, cost-effective legal support.
• Oversee regulatory compliance activities or establish and lead the compliance function.
• Prepare the organization for regulatory examinations and act as the primary point of contact with regulators.
• Provide guidance on corporate actions, issuer services, custody relationships, and other capital markets activities.
• Partner with product and technology teams to ensure new products align with evolving regulatory expectations, including emerging digital asset initiatives.
• Monitor legislative and regulatory developments affecting securities markets and represent the company in industry discussions when appropriate.

Conocimientos

Securities Regulation

Regulatory Compliance

Board Advisory / Governance

Outside Counsel Management

Executive Stakeholder Communication

Strategic Risk Management

Capital Markets

Digital Assets Interest

Educación

J.D.

Descripción del empleo

Madison-Davis, LLC is partnering with an innovative fintech to recruit its first senior legal leader to build and oversee the legal function while advising executive leadership in a highly regulated environment.

You will lead all legal matters across the business, including governance, securities regulation, financings, contracts, privacy, and equity compensation; build scalable processes; and manage outside counsel.