What are the responsibilities and job description for the Equities Compliance Officer position at Madison-Davis, LLC?
A broker dealer located in Downtown Manhattan looking to bring on board a “Equities Compliance Officer” to join their team. This role is currently in a hybrid schedule (3 days in office).
Responsibilities:
• Ensure the firms meets its obligations pursuant to key regulations related to equities trading, including but not limited to, electronic and algorithmic trading, Reg ATS, REG NMS, Market Access, Regulatory Reporting (CAT, TRF, Rules 605 and 606), Order Routing and Best Execution.
• Ensure timely filing of Regulatory Reports and Updates to Forms ATS-N and ATS-R.
• Work collaboratively with cross-functional teams as needed (e.g., Legal, Compliance, Client On-Boarding, AML Office, Marketing and Information Security).
• Conduct periodic assessments and other reviews to identify and remediate potential gaps.
• Draft WSPs and Controls as needed.
• Provide accurate and timely advice to inquiries and escalations from various trading and operations.
• Develop and enhance supervisory reports as needed.
• Analyze rule proposals and amendments to assess business impact and ensure proper implementation of necessary controls and conduct periodic training.
Salary : $200,000 - $225,000
