Senior Trading Compliance Advisor

Madison-Davis, LLC; New York (NY); On-site; USD 180,000 - 250,000; Full time

Job summary

Madison-Davis, LLC is seeking an experienced Compliance Officer to oversee regulatory compliance across its trading activities. The role combines hands-on desk advisory, surveillance oversight, and program development.

The ideal candidate will have deep knowledge of U.S. securities regulations, experience supporting investment professionals, and the ability to enhance trading controls in a fast-paced environment.

Qualifications

• JD from an accredited law school and active bar admission.
• Minimum 5 years of compliance experience in asset management, hedge funds, or broker-dealers with direct trading exposure.
• Strong knowledge of U.S. securities regulations and market conduct.
• Experience developing, managing, or enhancing pre-trade and post-trade surveillance.
• Ability to advise traders, portfolio managers, and trading operations on time-sensitive matters.
• Experience reviewing trading activity, interpreting surveillance alerts, and conducting investigations.
• Experience leading cross-functional initiatives involving policies, technology, or operations.
• Excellent communication and stakeholder management.

Responsibilities

• Advise traders on trading restrictions, approvals, and regulatory obligations.
• Oversee and strengthen pre-trade and post-trade surveillance and monitoring.
• Investigate potential compliance violations and recommend corrective actions.
• Collaborate with portfolio managers, trading ops, legal, risk, and tech teams.
• Assess compliance for new investment strategies, instruments, and markets.
• Lead initiatives to improve surveillance technology and internal controls.
• Manage compliance-related projects and regulatory changes.
• Prepare investigation findings, risk assessments, and recommendations.
• Develop trading compliance policies, procedures, and training.
• Stay informed of evolving securities regulations and translate into guidance.

Skills

Regulatory compliance

Trading compliance

Surveillance programs

Stakeholder management

Communication skills

Analytical skills

Education

Juris Doctor (JD)

Active bar admission

Tools

Trade surveillance systems

Job description

Madison-Davis, LLC is seeking an experienced Compliance Officer to oversee regulatory compliance across its trading activities. The role combines hands-on desk advisory, surveillance oversight, and program development.

The ideal candidate will have deep knowledge of U.S. securities regulations, experience supporting investment professionals, and the ability to enhance trading controls in a fast-paced environment.