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Head of ; Compliance
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-03-10
Listing for:
Madison-Davis, LLC
Full Time
position Listed on 2026-03-10
Job specializations:
-
Business
Regulatory Compliance Specialist
Job Description & How to Apply Below
Location: New York
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
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