Compliance Officer, Broker-Dealer Advisor

Madison-Davis, LLC; New York (NY); On-site; USD 180,000 - 260,000; Full time

Job summary

Madison-Davis, LLC is seeking an experienced Regulatory Compliance professional in New York to provide day-to-day guidance to trading, sales, and management teams. You will interpret SEC, FINRA, and broker-dealer requirements, assess regulatory risk in business activities, and advise front-office stakeholders on compliance matters across equities and options.

A strong background in policy drafting and governance is required.

Qualifications

• Bachelor’s degree in finance, economics, business or related field.
• 8+ years in Compliance, Legal, Regulatory Affairs, or related controls roles.
• Strong broker-dealer regulatory experience.
• Direct experience with equities and listed options trading.
• Deep understanding of SEC, FINRA, and broker-dealer requirements.
• Excellent analytical and stakeholder management skills.

Responsibilities

• Provide day-to-day compliance guidance to trading, sales, and business teams.
• Interpret and advise on regulatory requirements affecting broker-dealer activities.
• Evaluate business activities from a regulatory risk perspective.
• Serve as a trusted advisor to front-office stakeholders on compliance matters.
• Support equities and options compliance on regulatory, supervisory, and conduct requirements.
• Offer guidance on trading activities, market structure, and applicable regulations.
• Assess new products and services prior to launch.
• Partner with stakeholders to establish controls and governance processes.
• Draft, review, and enhance compliance policies and supervisory frameworks.
• Maintain compliance governance processes, regulatory inventories, and calendars.
• Assist with implementation and improvement of compliance controls and monitoring.
• Contribute to ongoing compliance program development and improvements.
• Support regulatory examinations, inquiries, audits, and remediation actions.
• Monitor regulatory developments and assess potential business impacts.
• Collaborate with Legal, Risk, Operations, and Compliance teams on emerging risks.
• Promote a culture of compliance, accountability, and ethics.

Skills

Regulatory compliance

Analytical thinking

Stakeholder management

Communication

Regulatory risk assessment

Policy drafting

Education

Bachelor’s degree in Finance/Economics/Business

J.D. (preferred)

Tools

Series 7

Series 24

Regulatory reporting systems

Job description

RESPONSIBILITIES

• Regulatory Advisory Provide day-to-day compliance guidance to trading, sales, and business management teams.


• Interpret and advise on regulatory requirements impacting broker-dealer activities, trading operations, and market conduct.


• Evaluate business activities, transactions, and operational processes from a regulatory risk perspective.


• Serve as a trusted advisor to front-office stakeholders on compliance-related matters.


• Equities & Options Compliance Support equities and listed options businesses on regulatory, supervisory, and conduct-related requirements.


• Provide guidance regarding trading activities, market structure considerations, and applicable securities regulations.


• Assess new products, services, trading strategies, and business initiatives prior to launch.


• Partner with stakeholders to ensure appropriate controls and governance processes are established.


• Policies, Procedures & Governance Draft, review, and enhance compliance policies, procedures, and supervisory frameworks.


• Support maintenance of compliance governance processes, regulatory inventories, and compliance calendars.


• Assist with implementation and enhancement of compliance controls and monitoring processes.


• Contribute to compliance program development and continuous improvement initiatives.


• Regulatory & Risk Management Support regulatory examinations, inquiries, audits, and remediation activities.


• Monitor regulatory developments and assess potential business impacts.


• Partner with Legal, Risk, Operations, and Compliance teams to address emerging regulatory risks.


• Promote a strong culture of compliance, accountability, and ethical conduct.

QUALIFICATIONS

• Bachelor's degree required;Finance, Economics, Business, or related field preferred.


• 8+ years of experience within Compliance, Legal, Regulatory Affairs, or related financial services control functions.


• Strong broker-dealer regulatory compliance experience.


• Direct experience supporting equities and listed options trading businesses.


• Deep understanding of SEC, FINRA, and broker-dealer regulatory requirements.


• Excellent analytical, communication, and stakeholder management skills.


• Ability to provide practical regulatory guidance in a fast-paced environment.

PREFERRED EXPERIENCE

• J.D. Or other advanced degree.


• Experience supporting sales and trading, market making, agency execution, or capital markets businesses.


• Familiarity with regulatory reporting obligations and supervisory frameworks.


• FINRA registrations such as Series 7, Series 24, or similar licenses.


• Experience operating within a global financial institution or matrixed organization.

WHAT THIS ROLE OFFERS

• High-visibility compliance advisory role supporting front-office trading businesses.


• Direct interaction with traders, business leaders, legal teams, and regulators.


• Exposure to equities, options, and broader capital markets activities.


• Opportunity to influence governance, controls, and regulatory strategy.


• Strong career growth path within broker-dealer and capital markets compliance leadership.