What are the responsibilities and job description for the Senior Compliance Oversight Lead position at Madison-Davis, LLC?
An investment bank located in Midtown Manhattan looking to bring on board a “Senior Compliance Oversight Lead ” to join their team. This role is currently in a hybrid schedule (4 days in office / week).
Responsibilities:
- Support the development and ongoing oversight of the Compliance Monitoring program.
- Partner with global teams to design, enhance, and implement effective Monitoring Activities (MAs).
- Assess and refine monitoring scopes and sampling strategies to improve efficiency and execution; ensure proper documentation and evidence retention.
- Perform Quality Assurance reviews of monitoring activities to ensure alignment with enterprise standards.
- Maintain and update procedures, templates, and related compliance documentation.
- Assist in building and executing the Compliance Oversight program.
- Review first-line testing methodologies and execution within the Oversight framework to ensure effectiveness.
- Track and report on program progress through the development of management information system (MIS) reports.
- Identify and communicate control weaknesses or deficiencies to stakeholders, offering credible challenge where necessary.
- Support issue management processes and promote a strong culture of compliance across the organization.
- Participate in cross-functional working groups focused on Monitoring and Oversight initiatives.
- Contribute to special projects aimed at strengthening the Core Compliance function.
Salary : $125,000 - $140,000