What are the responsibilities and job description for the VP, Compliance & Registration Oversight position at Madison-Davis, LLC?
A $275 billion asset management firm based in Midtown Manhattan looking to bring on board a “ VP, Compliance & Registration Oversight" to join their team. This role is currently in a hybrid schedule (4 days in office). If you are interested or have any questions, please email at avuceljic@madisondavis.com.
Responsibilities:
- Coordinate with Compliance and Human Resources teams to manage regulatory pre-hire, onboarding, and offboarding processes for broker-dealer personnel.
- Assist with the preparation and submission of regulatory filings for associated persons, including Forms U4 and U5, fingerprinting, continuing education, and regulatory exams.
- Ensure accurate and timely maintenance of required document retention and registration records.
- Support ad hoc compliance projects and initiatives as needed.
Salary : $110,000 - $135,000