What are the responsibilities and job description for the Compliance & Regulatory Advisor position at Madison-Davis, LLC?
A senior-level opportunity within a Broker-Dealer Regulatory Governance & Advisory team at a global financial institution. This group plays a central role in regulatory engagement, governance, and coordination across the broker-dealer platform.
This is a full-time role focused on regulatory advisory, where you would support SEC/FINRA exams and inquiries, coordinate responses across Compliance, Legal, Risk, and senior stakeholders, and provide practical guidance to the business. The role also includes exposure to governance and reporting, regulatory change management, and compliance program enhancements.
Overview:
- Provide compliance guidance and challenge to business and support teams on regulatory and compliance matters
- Escalate potential conduct issues, incidents, and material non-compliance
- Assist in managing regulatory inquiries, exams, applications, and filings
- Support remediation efforts from regulatory actions and self-reporting decisions
- Prepare management reporting and materials for governance committees and internal working groups
- Coordinate compliance policy and procedure reviews, updates, and approvals across the organization
- Assist in designing and delivering compliance training and communications, including alerts and reminders
- Track and support remediation of compliance issues and corrective action plans
- Participate in compliance technology evaluation and implementation
- Identify gaps and recommend process improvements in response to regulatory changes or operational needs
Salary : $140,000 - $195,000