RIA & BD Compliance Lead: Filings, Examinations & Guidance

Madison-Davis, LLC; Dallas (TX); In loco; USD 110.000 - 150.000; Tempo pieno

Descrizione del lavoro

Madison-Davis, LLC is seeking a Compliance Officer to support regulatory compliance across its advisory and broker-dealer businesses in Dallas. The role focuses on investment advisory compliance, regulatory filings, supervisory reviews, and branch examinations.

The ideal candidate has SEC and FINRA knowledge, can identify compliance risks independently, and will partner with business and supervisory teams to strengthen controls and monitoring programs.

Competenze

• Bachelor's degree or equivalent professional experience in a related field.
• 3–5 years of compliance experience within broker-dealer or RIA environments.
• Knowledge of SEC and FINRA regulations and supervisory requirements.
• Experience supporting Investment Adviser Representatives and advisory programs.
• Ability to interpret complex regulations and communicate clearly to stakeholders.

Mansioni

• Support administration and enhancement of the firm's RIA compliance program.
• Prepare and update regulatory filings, including Form ADV Parts 1, 2A, 2B.
• Assist with annual compliance assessments under Rule 206(4)-7.
• Provide guidance to IARs and advisory business teams.
• Review activities, supervisory practices, and internal controls for regulatory concerns.
• Conduct risk-based reviews and on-site branch examinations.
• Evaluate adherence to SEC, FINRA, and state requirements.
• Identify deficiencies, document findings, and recommend corrective actions.
• Support regulatory examinations, information requests, and investigations.
• Assist with customer complaint reviews and surveillance activities.

Conoscenze

Regulatory compliance

SEC/FINRA knowledge

Communication skills

Analytical thinking

Regulatory reporting

Formazione

Bachelor's degree in Business/Finance

Strumenti

Microsoft Word

Excel

PowerPoint

Outlook

Descrizione del lavoro

Madison-Davis, LLC is seeking a Compliance Officer to support regulatory compliance across its advisory and broker-dealer businesses in Dallas. The role focuses on investment advisory compliance, regulatory filings, supervisory reviews, and branch examinations.

The ideal candidate has SEC and FINRA knowledge, can identify compliance risks independently, and will partner with business and supervisory teams to strengthen controls and monitoring programs.