Director, Regulatory Compliance – Securities & Digital Assets

Madison-Davis, LLC; Chicago (IL); Vor Ort; USD 180.000 - 260.000; Vollzeit

Zusammenfassung

Madison-Davis, LLC is partnering with a growing financial-services firm to hire a Director of Regulatory Compliance. This senior, hands-on role will design and operate the firm's compliance framework across securities servicing, payments, and digital-asset activities.

The successful candidate will own regulatory obligations, lead SEC examinations, and build a scalable program with deep transfer agent experience, AML/KYC, OFAC, and tax reporting responsibilities under IRC Chapters 3 and 4.

Qualifikationen

• 10+ years of financial-services compliance experience, including transfer-agent, paying-agent, or securities-services exposure.
• Deep knowledge of SEC transfer agent regulations and related securities-servicing requirements.
• Hands-on experience with AML/BSA, KYC/KYB, and OFAC controls.
• Experience drafting and implementing policies and procedures, not just advising.
• Experience with IRC Chapters 3 and 4 withholding, W-8/W-9, FATCA, and 1042/1099 reporting.

Aufgaben

• Lead the regulatory compliance program for registered transfer agent and paying agent activities.
• Maintain policies, controls, and procedures meeting SEC transfer agent requirements and recordkeeping standards.
• Manage regulatory filings and act as primary contact during SEC examinations, including document production and remediation.
• Oversee dividends, interest, principal payments, redemptions, corporate actions, and related securities-servicing activities.
• Provide compliance oversight for relationships with depositories, trustees, issuers, and other market participants.
• Establish regulatory standards for blockchain/digital securities and related ownership records.
• Review digital securities products and control frameworks prior to launch.
• Oversee wallet screening, blockchain analytics, and transaction restrictions for digital-asset activity.
• Own tax withholding and information reporting processes under IRC Chapters 3 and 4, including W-8/W-9, FATCA, treaty-rate admin, and withholding requirements.
• Oversee 1042/1042-S and 1099 reporting and related tax documentation and remediation processes.
• Establish and maintain AML/BSA program, including KYC/KYB, risk-based monitoring, and training.
• Maintain OFAC sanctions program, including screening standards and escalation procedures.
• Oversee risk assessments, testing, monitoring plans, and regulatory remediation.
• Collaborate with technology/security on privacy and information protection requirements.
• Provide regular compliance reporting to leadership and the Board.
• Manage external counsel and independent reviews or testing engagements.

Kenntnisse

Regulatory Compliance

SEC Transfer Agent

AML/KYC

OFAC Sanctions

Tax Withholding

Regulatory Filings

Governance

Risk Assessment

Policy Development

Leadership

Jobbeschreibung

Madison-Davis, LLC is partnering with a growing financial-services firm to hire a Director of Regulatory Compliance. This senior, hands-on role will design and operate the firm's compliance framework across securities servicing, payments, and digital-asset activities.

The successful candidate will own regulatory obligations, lead SEC examinations, and build a scalable program with deep transfer agent experience, AML/KYC, OFAC, and tax reporting responsibilities under IRC Chapters 3 and 4.