Compliance Associate: FINRA & Regulatory Excellence

Madison-Davis, LLC; New York (NY); Sur place; USD 70 000 - 95 000; Plein temps

Résumé du poste

Madison-Davis, LLC seeks a Compliance Associate to support a broad range of regulatory and compliance activities within a financial services environment. The role offers hands-on exposure to FINRA requirements, licensing and registrations, employee compliance, surveillance, regulatory examinations, training, and policy development.

The ideal candidate has experience in a broker-dealer or similarly regulated environment and is comfortable managing multiple compliance responsibilities while

Qualifications

• Experience in broker-dealer, securities, or financial services compliance.
• Working knowledge of FINRA rules and regulatory requirements.
• Experience with licensing/registrations, employee compliance, surveillance, regulatory inquiries, or related compliance functions.
• Strong written communication, analytical, and organizational skills.
• Ability to interpret regulatory requirements and translate them into practical policies and procedures.
• Strong attention to detail with the ability to manage multiple deadlines and priorities.
• Ability to work effectively with employees, business stakeholders, and regulatory personnel.

Responsabilités

• Manage licensing and registration activities for individuals and entities, including new registrations, renewals, amendments, and terminations.
• Review and process employee personal trading pre-clearance requests, restricted-list matters, and potential conflicts of interest.
• Administer FINRA Continuing Education and annual firm certification requirements, including tracking and follow-up.
• Support new-hire and annual compliance training programs and maintain completion records.
• Administer and enhance the firm’s Gifts & Entertainment compliance program, including employee disclosures, approvals, and related procedures.
• Conduct electronic communications and compliance surveillance, investigate potential policy violations, and coordinate remediation with relevant business teams.
• Assist with FINRA and other regulatory inquiries by gathering documentation, coordinating responses, and preparing supporting materials.
• Support regulatory and branch examinations, including document preparation, employee coordination, and interview support.
• Draft and maintain compliance policies and procedures in response to regulatory developments and changes to business practices.
• Help identify opportunities to improve compliance workflows, controls, and employee reporting processes.
• Support the implementation and governance of new technology, including enterprise AI tools, with appropriate compliance and access controls.
• Partner with business and control functions to address compliance issues and strengthen the overall control environment.

Connaissances

FINRA knowledge

Licensing/registrations

Employee compliance

Surveillance

Regulatory inquiries handling

Policy development

Written communication

Analytical thinking

Organizational skills

Stakeholder collaboration

Description du poste

Madison-Davis, LLC seeks a Compliance Associate to support a broad range of regulatory and compliance activities within a financial services environment. The role offers hands-on exposure to FINRA requirements, licensing and registrations, employee compliance, surveillance, regulatory examinations, training, and policy development.

The ideal candidate has experience in a broker-dealer or similarly regulated environment and is comfortable managing multiple compliance responsibilities while