Futures & Derivatives Compliance Lead

Madison-Davis, LLC; New York (NY); Sur place; USD 120 000 - 180 000; Plein temps

Résumé du poste

Madison-Davis, LLC is seeking an experienced Compliance Manager to oversee regulatory advisory, trade surveillance, and supervisory compliance for futures, commodities, and swaps activities. The role emphasizes strong derivatives knowledge, independent management of complex issues, and collaboration with trading desks and control functions.

The ideal candidate will bring 5+ years of relevant experience, advanced degree preference, and proven ability to manage cross-functional regulatory projects

Qualifications

• 5+ years of experience in compliance, regulatory oversight, or supervision within financial markets.
• Advanced degree preferred.
• Strong knowledge of derivatives regulations, Dodd-Frank Title VII, and SEF rules.

Responsabilités

• Provide regulatory guidance and compliance oversight to futures, commodities, and swaps trading businesses.
• Develop and maintain policies, procedures, and internal controls per regulatory requirements.
• Conduct trade surveillance, audit-trail reviews, and image/voice analysis.
• Coordinate regulatory examinations, internal audits, and information requests.
• Track regulatory developments and assess impact on controls and training.

Connaissances

Regulatory oversight

Analytical skills

Regulatory communications

Judgment

Cross-functional collaboration

Formation

Advanced degree preferred

Outils

Surveillance technology

Audit-trail reviews

Description du poste

Madison-Davis, LLC is seeking an experienced Compliance Manager to oversee regulatory advisory, trade surveillance, and supervisory compliance for futures, commodities, and swaps activities. The role emphasizes strong derivatives knowledge, independent management of complex issues, and collaboration with trading desks and control functions.

The ideal candidate will bring 5+ years of relevant experience, advanced degree preference, and proven ability to manage cross-functional regulatory projects