Compliance Officer Capital Markets & Public Finance

Madison-Davis; Dallas (TX); On-site; USD 90,000 - 160,000; Full time

Job summary

Madison-Davis, LLC, in Dallas, TX, seeks a seasoned Regulatory Compliance professional to support Public Finance, Capital Markets, and Fixed Income teams. The role requires interpreting complex FINRA/SEC rules and strengthening internal controls across supervisory procedures.

The ideal candidate will hold a FINRA Series 7 license, have 3–7 years in broker-dealer compliance or related fields, and possess strong analytical and communication skills to explain regulatory requirements to stakeholders.

Qualifications

• Bachelor's degree, preferably in Business, Finance, or related discipline.
• 3–7 years of experience in broker-dealer compliance, supervision, regulatory affairs, audit, legal, or related financial services functions.
• Direct experience supporting Public Finance, Municipal Securities, Capital Markets, or Fixed Income activities.
• FINRA Series 7 license required.
• Working knowledge of FINRA, SEC, MSRB, CFTC, and NFA regulations relevant to institutional securities and financial markets.
• Understanding of broker-dealer supervisory requirements, compliance controls, and surveillance practices.
• Strong written and verbal communication skills.
• Ability to explain complex regulatory requirements clearly to business stakeholders.
• Proficiency in Microsoft Word, Excel, PowerPoint, and Outlook.

Responsibilities

• Provide day-to-day compliance guidance to Public Finance, Capital Markets, Fixed Income, and Commodities teams. Interpret and apply FINRA, SEC, MSRB, CFTC, and NFA regulatory requirements.
• Review and enhance written supervisory procedures, compliance policies, and internal controls. Identify potential regulatory violations and supervisory weaknesses.
• Coordinate responses to regulatory inquiries, examinations, audits, and documentation requests; prepare compliance reports and supporting regulatory documentation.

Skills

Regulatory compliance

Regulatory interpretation

Analytical skills

Communication skills

Microsoft Office

Education

Bachelor's degree in Business/Finance or related

Tools

Microsoft Word

Microsoft Excel

PowerPoint

Outlook

Job description

RESPONSIBILITIES

• Regulatory Compliance & Supervision Provide day-to-day compliance guidance to Public Finance, Capital Markets, Fixed Income, and Commodities teams. Interpret and apply FINRA, SEC, MSRB, CFTC, and NFA regulatory requirements. Review and enhance written supervisory procedures, compliance policies, and internal controls. Identify potential regulatory violations, supervisory weaknesses, and emerging compliance risks. Respond to compliance-related questions from business stakeholders and regulatory authorities.
• Monitoring, Testing & Examinations Conduct risk-based compliance testing, surveillance, and supervisory reviews across assigned business areas. Plan and perform compliance inspections of branch offices and corporate business units. Evaluate supervisory practices, document findings, and recommend corrective actions. Support annual compliance certifications and supervisory assessments. Monitor remediation efforts and assist with resolving identified compliance deficiencies.
• Regulatory Coordination & Reporting Coordinate responses to regulatory inquiries, examinations, audits, and documentation requests. Prepare compliance reports, examination findings, and supporting regulatory documentation. Review institutional communications, advertising, and marketing materials for regulatory compliance. Support electronic communications oversight and annual compliance initiatives. Partner with compliance management and business leaders on regulatory projects and process improvements.

QUALIFICATIONS

• Bachelor's degree, preferably in Business, Finance, or a related discipline.
• 3 7 years of experience in broker-dealer compliance, supervision, regulatory affairs, audit, legal, or related financial services functions.
• Direct experience supporting Public Finance, Municipal Securities, Capital Markets, or Fixed Income activities.
• FINRA Series 7 license required.
• Working knowledge of FINRA, SEC, MSRB, CFTC, and NFA regulations relevant to institutional securities and financial markets.
• Understanding of broker-dealer supervisory requirements, compliance controls, and surveillance practices.
• Strong analytical, problem-solving, and regulatory interpretation skills.
• Excellent written and verbal communication skills.
• Ability to explain complex regulatory requirements clearly to business stakeholders.
• Proficiency in Microsoft Word, Excel, PowerPoint, and Outlook.

PREFERRED EXPERIENCE

• FINRA Series 24 and/or Series 53 licenses.
• Experience conducting compliance testing, surveillance, branch inspections, or regulatory examinations.
• Background supporting institutional broker-dealer or fixed income trading activities.
• Familiarity with municipal securities regulations and MSRB supervisory requirements.
• Experience reviewing institutional marketing materials and electronic communications.
• Knowledge of Written Supervisory Procedures (WSPs), regulatory reporting, and supervisory control frameworks.