Senior Compliance Officer – RIA/Broker-Dealer Focus

Madison-Davis, LLC; Texas; Vor Ort; USD 85.000 - 130.000; Vollzeit

Zusammenfassung

Madison-Davis, LLC seeks a Compliance Officer to oversee regulatory oversight across its investment advisory and broker-dealer businesses in Texas. The role emphasizes maintaining and improving compliance programs, conducting supervisory reviews, and guiding investment professionals on regulatory matters.

The ideal candidate will have RIA or broker-dealer compliance experience, strong knowledge of investment adviser regulations, and the ability to work independently in a collaborative team

Qualifikationen

• Bachelor's degree or equivalent in Business/Finance or related field.
• 3–5 years of compliance experience in broker-dealer or RIA environment.
• FINRA Series 7 required unless experienced in investment advisory.
• Knowledge of SEC and FINRA regulations and supervisory requirements.
• Strong written and verbal communication; detail-oriented.

Aufgaben

• Support the ongoing administration and enhancement of the firm's RIA compliance program.
• Assist with regulatory filings, including Form ADV Parts 1, 2A, 2B.
• Participate in annual compliance assessments under Rule 206(4)-7.
• Conduct compliance inspections of branch offices and corporate locations.
• Review supervisory activities and assist with corrective actions.
• Provide regulatory guidance to Investment Adviser Representatives (IARs).
• Assist with regulatory examinations, information requests, and internal reviews.
• Review and update Written Supervisory Procedures and internal controls.
• Support oversight of advertising, marketing materials, and complaints.
• Assist with annual executive compliance certifications and training.

Kenntnisse

Regulatory compliance

Financial services

Analytical thinking

Communication skills

Microsoft Office

Self-motivation

Regulatory knowledge

Ausbildung

Bachelor's degree in Business/Finance or related field

Tools

Microsoft Office Suite

Jobbeschreibung

Madison-Davis, LLC seeks a Compliance Officer to oversee regulatory oversight across its investment advisory and broker-dealer businesses in Texas. The role emphasizes maintaining and improving compliance programs, conducting supervisory reviews, and guiding investment professionals on regulatory matters.

The ideal candidate will have RIA or broker-dealer compliance experience, strong knowledge of investment adviser regulations, and the ability to work independently in a collaborative team