Trading Compliance Lead - Surveillance & Policy Champion

Madison-Davis, LLC; New York (NY); On-site; USD 150,000 - 230,000; Full time

Job summary

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

Candidates should bring securities regulation knowledge and the ability to strengthen trading controls in a fast‑paced environment. Primary responsibilities include advising traders, overseeing trade monitoring, and developing compliance policies while

Qualifications

• JD from an accredited law school with active bar admission.
• Minimum 5 years of compliance experience in asset management, hedge funds, or broker-dealers.
• Strong knowledge of U.S. securities regulations, trading practices, and market conduct.

Responsibilities

• Advise traders and investment professionals on trading restrictions, approvals, and regulatory obligations.
• Oversee and strengthen pre-trade reviews and post-trade surveillance controls.
• Investigate potential compliance violations and recommend corrective actions.
• Collaborate with portfolio managers, operations, legal, risk and technology on regulatory challenges.
• Assess compliance considerations for new strategies and instruments.
• Lead initiatives to improve surveillance tech, automated monitoring, and internal controls.
• Manage compliance projects with stakeholders and timely regulatory changes.
• Prepare investigation findings, risk assessments and management recommendations.
• Develop trading compliance policies, procedures and training programs.
• Stay updated on evolving securities regulations and translate into business guidance.

Skills

Regulatory compliance

Stakeholder management

Analytical skills

Education

Juris Doctor (JD)

Job description

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

Candidates should bring securities regulation knowledge and the ability to strengthen trading controls in a fast‑paced environment. Primary responsibilities include advising traders, overseeing trade monitoring, and developing compliance policies while