Compliance Governance & Policy

Madison-Davis, LLC; New York (NY); On-site; USD 90,000 - 140,000; Full time

Job summary

Madison-Davis, LLC in New York seeks a motivated compliance professional to strengthen the U.S. compliance program, coordinating regulatory initiatives and enhancing governance within a capital markets environment.

You will work closely with senior Compliance leaders and business partners to develop and update policies, track key projects to completion, and prepare concise reports for internal committees. This role is suited for someone early to mid-career with a foundation in financial

Qualifications

• 2–6 years of relevant experience in financial services, law, regulatory, or compliance.
• Exposure to financial markets or securities regulation.
• J.D. preferred but not required.
• Strong communication and cross-team collaboration.
• Excellent organizational and project-management capabilities.
• Ability to manage competing priorities and deliver results.
• Comfort with AI-enabled tools to enhance efficiency.

Responsibilities

• Coordinate compliance projects, remediation items, assessments, and program initiatives.
• Develop and improve governance processes and oversight frameworks.
• Draft and review compliance policies, procedures, and standards.
• Support regulatory change initiatives and record-keeping.
• Prepare concise reporting and updates for senior leadership.
• Conduct program reviews to identify process improvements.
• Collaborate with stakeholders to drive accountability.
• Leverage technology and AI tools to streamline workflows.

Skills

Communication

Organizational skills

Project management

Detail oriented

Prioritization

Problem solving

Tech savvy

AI tools

Education

J.D. preferred

Job description

We are seeking a motivated Compliance professional to join the U.S. compliance function of a financial services organization. This is a newly established position focused on strengthening the infrastructure, policies, and processes that support an effective Compliance program.

Working closely with senior Compliance leaders and business partners, this individual will help coordinate regulatory initiatives, improve governance practices, maintain policies and procedures, and ensure key projects and commitments are effectively tracked through completion.

This is an excellent opportunity for someone early to mid-career who has a foundation in financial services, Compliance, regulatory, or legal work and wants to broaden their exposure within a capital markets environment. Deep expertise across every regulation or financial product is not expected from day one.

Key Responsibilities

• Coordinate Compliance projects, remediation items, assessments, and other program initiatives, ensuring responsibilities and deadlines are clearly tracked.
• Support the development and ongoing improvement of Compliance governance processes and internal oversight frameworks.
• Draft, update, and review Compliance policies, procedures, standards, and related documentation.
• Assist with regulatory change initiatives by evaluating new requirements, coordinating implementation efforts, and maintaining appropriate records.
• Prepare concise reporting, presentations, and updates for senior leadership and internal committees.
• Conduct program reviews and special projects aimed at identifying opportunities to strengthen Compliance processes.
• Partner with Compliance colleagues and business stakeholders to improve accountability and execution across key initiatives.
• Help colleagues understand and effectively use governance processes, policies, and supporting tools.
• Leverage approved technology, automation, and AI tools to streamline workflows and improve productivity.

Qualifications

• Approximately 2–6 years of relevant professional experience within financial services, a law firm, regulatory organization, broker-dealer, exchange, or Legal/Compliance function.
• Exposure to financial markets, securities regulation, broker-dealer activities, or related Compliance matters.
• J.D. preferred but not required.
• Strong written and verbal communication skills with the ability to work effectively across different teams and seniority levels.
• Excellent organizational and project-management capabilities.
• Strong attention to detail with a practical, problem-solving approach.
• Ability to manage competing priorities, take ownership of assignments, and follow initiatives through completion.
• Intellectual curiosity, initiative, and an interest in continuing to develop financial services and regulatory expertise.
• Comfortable using technology and appropriately leveraging AI-enabled tools to improve efficiency.