Head of Compliance

Madison-Davis, LLC; United States; Remoto; USD 180.000 - 250.000; Tempo integral

Resumo da vaga

Madison-Davis, LLC seeks an experienced compliance leader to build and scale a best-in-class program for financial services and capital markets operations, including digital assets initiatives. You will partner with executive leadership, oversee regulatory examinations, AML/KYC programs, and regulatory reporting, and guide licensing and expansion efforts as the organization grows.

The role focuses on policy development, risk assessments, and cross-functional collaboration with product and

Qualificações

• 10+ years of compliance experience within financial services or capital markets.
• Strong knowledge of securities regulations and regulatory examinations.
• Experience leading AML/BSA, sanctions, KYC and customer due diligence programs.
• Hands-on policy development, internal controls, and governance frameworks.
• Experience with regulatory reporting, audits, and remediation activities.
• Ability to build scalable compliance programs in a fast-growing organization.

Responsabilidades

• Lead and maintain the firm's regulatory compliance program for securities servicing and related operations.
• Serve as primary liaison for regulatory examinations, filings, responses, and remediation.
• Oversee onboarding, risk assessments, sanctions screening, and investigations.
• Develop policies, procedures, and internal controls to ensure ongoing compliance.
• Partner with technology and product teams to align new products with regulatory expectations.
• Lead enterprise compliance risk assessments, testing, and board reporting.
• Coordinate outside advisors and regulators as needed.

Conhecimentos

Regulatory compliance

Securities regulations

Compliance program mgmt

AML / BSA

KYC / KYB

Policy development

Regulatory reporting

Stakeholder comms

Project management

Regulatory examinations

Descrição da vaga

We're partnering with an innovative financial services company that is transforming the infrastructure supporting capital markets. As the organization continues to expand, they are seeking an experienced compliance leader to build, oversee, and scale a best-in-class compliance program while helping guide future regulatory growth. This role offers the opportunity to shape compliance strategy, partner closely with executive leadership, and prepare the organization for additional regulatory registrations and business expansion.

What You'll Do

• Lead and maintain the firm's regulatory compliance program for securities servicing and related financial operations.
• Serve as the primary liaison for regulatory examinations, filings, responses, and remediation efforts.
• Oversee compliance related to shareholder servicing, corporate actions, issuer support, payment processing, recordkeeping, and regulatory reporting.
• Develop policies, procedures, and internal controls to ensure ongoing compliance with federal and state regulatory requirements.
• Manage AML, sanctions, KYC/KYB, customer due diligence, and ongoing monitoring programs.
• Oversee customer onboarding, risk assessments, beneficial ownership reviews, sanctions screening, and compliance investigations.
• Direct tax reporting and withholding compliance, including documentation, information reporting, and regulatory filings.
• Partner with technology and product teams to ensure new products and digital asset initiatives meet regulatory expectations.
• Monitor evolving regulations affecting securities, financial services, digital assets, privacy, and financial crime compliance.
• Lead enterprise compliance risk assessments, testing, monitoring, and reporting to executive leadership and the board.
• Coordinate outside advisors, independent testing, and regulatory consultants as needed.
• Build and develop the compliance organization as the company continues to grow.
• Support future licensing and regulatory expansion by developing compliance frameworks, conducting gap assessments, and preparing programs for additional registrations.

QUALIFICATIONS

• 10+ years of compliance experience within financial services, capital markets, securities operations, banking, or a similarly regulated environment.
• Strong knowledge of securities regulations, regulatory examinations, and compliance program management.
• Experience leading AML/BSA, sanctions, KYC, and customer due diligence programs.
• Hands‑on experience developing policies, procedures, internal controls, and compliance governance frameworks.
• Experience overseeing regulatory reporting, examinations, audits, and remediation activities.
• Strong project management skills with the ability to build scalable compliance programs.
• Excellent communication skills with experience presenting to regulators, executives, and board members.
• Ability to balance regulatory requirements with business objectives in a fast‑paced, growing organization.
• Background supporting securities servicing, custody, transfer operations, or other regulated financial market infrastructure.
• Experience with digital assets, blockchain‑based financial products, or emerging financial technologies.
• Familiarity with tax withholding, information reporting, and related regulatory requirements.
• Exposure to broker‑dealer, trust company, or other financial institution regulatory frameworks.
• Professional certifications such as CAMS, CRCM, or similar compliance credentials are a plus.