Compliance Officer

Madison-Davis, LLC; New York (NY); On-site; USD 180,000 - 250,000; Full time

Job summary

Madison-Davis, LLC is seeking an experienced Compliance Officer to oversee regulatory compliance across its trading activities. The role combines hands-on desk advisory, surveillance oversight, and program development.

The ideal candidate will have deep knowledge of U.S. securities regulations, experience supporting investment professionals, and the ability to enhance trading controls in a fast-paced environment.

Qualifications

• JD from an accredited law school and active bar admission.
• Minimum 5 years of compliance experience in asset management, hedge funds, or broker-dealers with direct trading exposure.
• Strong knowledge of U.S. securities regulations and market conduct.
• Experience developing, managing, or enhancing pre-trade and post-trade surveillance.
• Ability to advise traders, portfolio managers, and trading operations on time-sensitive matters.
• Experience reviewing trading activity, interpreting surveillance alerts, and conducting investigations.
• Experience leading cross-functional initiatives involving policies, technology, or operations.
• Excellent communication and stakeholder management.

Responsibilities

• Advise traders on trading restrictions, approvals, and regulatory obligations.
• Oversee and strengthen pre-trade and post-trade surveillance and monitoring.
• Investigate potential compliance violations and recommend corrective actions.
• Collaborate with portfolio managers, trading ops, legal, risk, and tech teams.
• Assess compliance for new investment strategies, instruments, and markets.
• Lead initiatives to improve surveillance technology and internal controls.
• Manage compliance-related projects and regulatory changes.
• Prepare investigation findings, risk assessments, and recommendations.
• Develop trading compliance policies, procedures, and training.
• Stay informed of evolving securities regulations and translate into guidance.

Skills

Regulatory compliance

Trading compliance

Surveillance programs

Stakeholder management

Communication skills

Analytical skills

Education

Juris Doctor (JD)

Active bar admission

Tools

Trade surveillance systems

Job description

A leading investment management firm is seeking an experienced Compliance Officer to oversee regulatory compliance across its trading activities. This role combines hands-on trading desk advisory, surveillance oversight, regulatory expertise, and compliance program development.

The ideal candidate will bring a strong understanding of securities regulations, experience supporting investment professionals, and the ability to improve trading controls in a fast-paced environment.

Key Responsibilities

• Serve as a primary compliance resource for traders and investment professionals, advising on trading restrictions, approvals, and regulatory obligations.
• Oversee and strengthen trade monitoring controls, including pre-execution reviews, post-trade surveillance, alert analysis, and exception management.
• Evaluate trading patterns, investigate potential compliance violations, and recommend appropriate corrective actions.
• Collaborate with portfolio managers, trading operations, legal, risk, and technology teams to address regulatory and operational challenges.
• Assess compliance considerations associated with new investment strategies, financial instruments, and trading markets.
• Lead initiatives to improve surveillance technology, automated monitoring, reporting capabilities, and internal controls.
• Manage compliance-related projects, coordinating stakeholders and ensuring timely implementation of regulatory and process changes.
• Prepare investigation findings, risk assessments, and recommendations for senior management.
• Develop trading compliance policies, procedures, and training programs to support regulatory adherence.
• Stay informed of evolving securities regulations and market practices, translating developments into practical business guidance.

Required Qualifications

• Juris Doctor (JD) from an accredited law school and active bar admission.
• Minimum 5 years of compliance experience within an asset manager, hedge fund, or broker-dealer, with direct exposure to trading compliance.
• Strong knowledge of U.S. securities regulations, trading practices, and market conduct requirements.
• Demonstrated experience developing, managing, or enhancing pre-trade and post-trade surveillance programs.
• Proven ability to advise traders, portfolio managers, and trading operations teams on time-sensitive compliance matters.
• Experience reviewing trading activity, interpreting surveillance alerts, and conducting compliance investigations.
• Strong background in preparing investigative reports, escalation documentation, and remediation recommendations.
• Experience leading cross-functional initiatives involving compliance policies, technology, or operational improvements.
• Excellent communication, analytical, and stakeholder management skills, with sound judgment and a strong commitment to professional integrity.