Senior Compliance Advisor for Equities & Markets

Madison-Davis, LLC; New York (NY); Sur place; USD 180 000 - 260 000; Plein temps

Résumé du poste

Madison-Davis, LLC is seeking an experienced Regulatory Compliance professional in New York to provide day-to-day guidance to trading, sales, and management teams. You will interpret SEC, FINRA, and broker-dealer requirements, assess regulatory risk in business activities, and advise front-office stakeholders on compliance matters across equities and options.

A strong background in policy drafting and governance is required.

Qualifications

• Bachelor’s degree in finance, economics, business or related field.
• 8+ years in Compliance, Legal, Regulatory Affairs, or related controls roles.
• Strong broker-dealer regulatory experience.
• Direct experience with equities and listed options trading.
• Deep understanding of SEC, FINRA, and broker-dealer requirements.
• Excellent analytical and stakeholder management skills.

Responsabilités

• Provide day-to-day compliance guidance to trading, sales, and business teams.
• Interpret and advise on regulatory requirements affecting broker-dealer activities.
• Evaluate business activities from a regulatory risk perspective.
• Serve as a trusted advisor to front-office stakeholders on compliance matters.
• Support equities and options compliance on regulatory, supervisory, and conduct requirements.
• Offer guidance on trading activities, market structure, and applicable regulations.
• Assess new products and services prior to launch.
• Partner with stakeholders to establish controls and governance processes.
• Draft, review, and enhance compliance policies and supervisory frameworks.
• Maintain compliance governance processes, regulatory inventories, and calendars.
• Assist with implementation and improvement of compliance controls and monitoring.
• Contribute to ongoing compliance program development and improvements.
• Support regulatory examinations, inquiries, audits, and remediation actions.
• Monitor regulatory developments and assess potential business impacts.
• Collaborate with Legal, Risk, Operations, and Compliance teams on emerging risks.
• Promote a culture of compliance, accountability, and ethics.

Connaissances

Regulatory compliance

Analytical thinking

Stakeholder management

Communication

Regulatory risk assessment

Policy drafting

Formation

Bachelor’s degree in Finance/Economics/Business

J.D. (preferred)

Outils

Series 7

Series 24

Regulatory reporting systems

Description du poste

Madison-Davis, LLC is seeking an experienced Regulatory Compliance professional in New York to provide day-to-day guidance to trading, sales, and management teams. You will interpret SEC, FINRA, and broker-dealer requirements, assess regulatory risk in business activities, and advise front-office stakeholders on compliance matters across equities and options.

A strong background in policy drafting and governance is required.