Madison-Davis, LLC
Compliance Officer
Lead the execution of the broker-dealer compliance program, ensuring compliance with laws, regulations, and industry standards through testing, monitoring, and surveillance. Identify opportunities for policy and procedural improvements, staying informed on company goals, regulatory changes, and industry trends. Oversee and update surveillance, testing, and employee education programs, addressing concerns raised in compliance testing results. Monitor client transactions and generate exception reports. Manage daily risk assessments, including pre- and post-trade surveillance and analysis. Act as the primary contact for the firm’s external regulatory compliance support provider. Collaborate with regulatory bodies and lead responses to regulatory inquiries. Review and approve Employee Trading, Personal Securities Transactions, Outside Business Activities, Political Contributions, and Annual Compliance Certifications. Oversee firm certifications and renewals, and review RFIs. Lead periodic KYC reviews, including risk ratings, adverse news, and sanctions checks. Ensure marketing and advertising materials comply with FINRA rules. Conduct compliance training and ensure training content aligns with regulatory requirements. Assess the effectiveness of compliance processes across all business areas and recommend enhancements. Seniority Level
Director Employment Type
Contract Job Function
Legal
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Lead the execution of the broker-dealer compliance program, ensuring compliance with laws, regulations, and industry standards through testing, monitoring, and surveillance. Identify opportunities for policy and procedural improvements, staying informed on company goals, regulatory changes, and industry trends. Oversee and update surveillance, testing, and employee education programs, addressing concerns raised in compliance testing results. Monitor client transactions and generate exception reports. Manage daily risk assessments, including pre- and post-trade surveillance and analysis. Act as the primary contact for the firm’s external regulatory compliance support provider. Collaborate with regulatory bodies and lead responses to regulatory inquiries. Review and approve Employee Trading, Personal Securities Transactions, Outside Business Activities, Political Contributions, and Annual Compliance Certifications. Oversee firm certifications and renewals, and review RFIs. Lead periodic KYC reviews, including risk ratings, adverse news, and sanctions checks. Ensure marketing and advertising materials comply with FINRA rules. Conduct compliance training and ensure training content aligns with regulatory requirements. Assess the effectiveness of compliance processes across all business areas and recommend enhancements. Seniority Level
Director Employment Type
Contract Job Function
Legal
#J-18808-Ljbffr