Senior U.S. Broker-Dealer Compliance Leader

Madison-Davis, LLC; New York (NY); On-site; USD 250,000 - 400,000; Full time

Job summary

Madison-Davis, LLC invites a seasoned Head of U.S. Broker-Dealer Compliance to lead our regulatory advisory function supporting trading businesses.

You will partner with front-office and executives, shaping the broker-dealer compliance program across SEC, FINRA rules and exchanges, and manage a capable compliance team. The role demands deep experience in equities, fixed income, listed options, and related activities, with a proven ability to translate complex regulations into practical guidance

Qualifications

• 10+ years of broker-dealer compliance experience
• Deep understanding of U.S. Securities regulation and broker-dealer framework
• Experience advising front-office and senior management on regulatory matters
• Leadership experience developing and managing compliance professionals
• Experience with trade surveillance, regulatory reporting, and supervisory controls

Responsibilities

• Lead and develop the U.S. Broker-dealer compliance team, including hiring, performance management, training, development, and succession planning.
• Serve as a senior compliance advisor to trading businesses covering equities, fixed income, listed options, and other securities activities.
• Provide timely guidance to traders, desk heads, and business leadership on complex regulatory matters.
• Maintain oversight of the broker-dealer compliance program and alignment with SEC, FINRA, SRO, and exchange requirements.
• Lead or coordinate responses to regulatory examinations, inquiries, and remediation efforts.
• Promote a culture of strong judgment, accountability, and proactive risk management.

Skills

Broker-dealer compliance

Regulatory leadership

Regulatory advisory to front-office

Written & verbal communication

Job description

Madison-Davis, LLC invites a seasoned Head of U.S. Broker-Dealer Compliance to lead our regulatory advisory function supporting trading businesses.

You will partner with front-office and executives, shaping the broker-dealer compliance program across SEC, FINRA rules and exchanges, and manage a capable compliance team. The role demands deep experience in equities, fixed income, listed options, and related activities, with a proven ability to translate complex regulations into practical guidance