What are the responsibilities and job description for the Head of Central; Compliance position at Madison-Davis, LLC?
A leading Broker Dealer firm is looking to hire a Head of Central Compliance for its New York City office. This leadership role offers broad ownership of the firm’s Compliance framework and day-to-day operations across the Americas.
The position is based in New York metro and offers a competitive compensation package.
Overview:
- Oversee personal account dealing systems and related controls
- Design, implement, and govern the compliance policy framework, including periodic reviews and updates
- Monitor, assess, and communicate key regulatory developments
- Administer regulatory registrations, continuing education tracking, and information barrier frameworks
- Maintain books and records compliance and coordinate firmwide compliance training
- Lead compliance risk assessments, testing programs, and required annual reviews and certifications
- Oversee ongoing regulatory reporting obligations and event-driven filings and notifications
- Manage regulatory examinations and inquiries, including coordination, tracking, and response preparation
Salary : $200,000 - $295,000