What are the responsibilities and job description for the Senior Equities Compliance Officer position at Madison-Davis, LLC?
We are partnering with a leading global financial services firm seeking a Senior Equities Compliance Officer to provide regulatory advisory support to its equities trading and sales businesses. This role sits within the second line of defense and focuses on ensuring alignment with U.S. securities laws and SEC/FINRA requirements while supporting business initiatives.
Key Responsibilities
- Serve as a compliance advisor to equities business units on regulatory requirements and firm policies
- Provide guidance on new products, trading activities, and strategic initiatives
- Enhance surveillance, monitoring, and testing programs to identify and mitigate compliance risks
- Support regulatory examinations, inquiries, and ongoing regulator engagement
- Conduct risk assessments and oversee remediation efforts
- Monitor regulatory developments and assist with policy updates
- Deliver compliance training and partner closely with Legal, Risk, and Operations teams
This role offers strong exposure to senior stakeholders and the opportunity to contribute to a dynamic equities compliance program.