Securities Regulatory Advisory – Manager / Director

Madison-Davis, LLC; New York (NY); On-site; USD 100,000 - 180,000; Full time

Job summary

Madison-Davis, LLC is seeking a regulatory professional to advise clients on U.S. securities regulations, compliance challenges, and market developments.

The role involves supporting high-profile regulatory matters, emerging digital asset issues, and strategic advisory projects across the securities industry. The position offers exposure to complex regulatory engagements, collaboration with senior professionals, and opportunities to manage multiple client assignments while contributing to new

Qualifications

• Bachelor's degree required; JD strongly preferred.
• 3-10 years of experience in securities regulation, financial services policy, government, or related advisory work.
• Strong understanding of U.S. securities laws and SEC/FINRA regulatory frameworks.
• Experience with a securities regulator, government agency, law firm, consulting organization, or public policy advisory group.
• Background in regulatory examinations, enforcement, or securities oversight highly desirable.
• Exposure to legislative or congressional financial services matters is a plus.
• Excellent research, analytical writing, editing, and communication skills.
• Strong proficiency in Microsoft PowerPoint and Excel.
• Ability to manage competing priorities, meet deadlines, and communicate effectively with clients and senior stakeholders.

Responsibilities

• Advise financial institutions on SEC, FINRA, and other securities regulatory requirements.
• Evaluate compliance frameworks, supervisory practices, and regulatory risk across broker-dealers, investment advisers, investment funds, exchanges, and public companies.
• Conduct targeted reviews covering trade surveillance, AML, best execution, communications, disclosures, market access, and other regulatory priorities.
• Analyze new regulations, enforcement developments, and emerging issues involving digital assets and financial markets.
• Prepare regulatory assessments, client presentations, research publications, and written recommendations.
• Contribute to securities-related litigation support and expert analysis.
• Collaborate with senior industry professionals on complex regulatory engagements.
• Manage multiple client assignments and contribute to new business opportunities.

Skills

Regulatory analysis

Regulatory writing

Client communication

Research skills

Education

Bachelor's degree

Juris Doctor (JD) preferred

Tools

PowerPoint

Excel

Job description

A specialized financial services advisory firm is seeking a regulatory professional to support clients navigating complex U.S. securities regulations, compliance challenges, and evolving market developments.

This opportunity offers exposure to high-profile regulatory matters, emerging financial technologies, and strategic advisory projects across the securities industry.

Key Responsibilities

• Advise financial institutions on SEC, FINRA, and other securities regulatory requirements.
• Evaluate compliance frameworks, supervisory practices, and regulatory risk across broker-dealers, investment advisers, investment funds, exchanges, and public companies.
• Conduct targeted reviews covering trade surveillance, AML, best execution, communications, disclosures, market access, and other regulatory priorities.
• Analyze new regulations, enforcement developments, and emerging issues involving digital assets and financial markets.
• Prepare regulatory assessments, client presentations, research publications, and written recommendations.
• Contribute to securities-related litigation support and expert analysis.
• Collaborate with senior industry professionals on complex regulatory engagements.
• Manage multiple client assignments and contribute to new business opportunities.

Required Qualifications

• Bachelor's degree required; JD strongly preferred.
• 3-10 years of experience in securities regulation, financial services policy, government, or related advisory work.
• Strong understanding of U.S. securities laws and SEC/FINRA regulatory frameworks.
• Experience with a securities regulator, government agency, law firm, consulting organization, or public policy advisory group.
• Background in regulatory examinations, enforcement, or securities oversight highly desirable.
• Exposure to legislative or congressional financial services matters is a plus.
• Excellent research, analytical writing, editing, and communication skills.
• Strong proficiency in Microsoft PowerPoint and Excel.
• Ability to manage competing priorities, meet deadlines, and communicate effectively with clients and senior stakeholders.