Apply for the Branch Inspections Compliance Associate position

"*" indicates required fields

Name*

Email*

Phone*

Upload resume*

Max. file size: 10 MB.

Drop files, or upload here

Madison-Davis is committed to protecting and respecting your privacy, and we will only use your personal information to contact you regarding the services you requested from us. Your contact information will not be shared or sold to third parties for marketing purposes. We would like to contact you about our products and services, as well as other content that may be of interest to you; messaging frequency will vary based on hiring needs and opportunities. If you consent to us contacting you for this purpose, please check the box below.

I agree to receive communications from Madison-Davis

You may unsubscribe from these communications at any time by replying STOP. You may also text HELP for more information. Mobile messaging and data rates may apply.

CAPTCHA

This field is for validation purposes and should be left unchanged.

Broker dealer located in Midtown Manhattan looking to bring on board a “Branch Inspections Compliance Associate” to join their team. This role is currently in a hybrid schedule (2 to 3 days in office / week).

Responsibilities:
• Assist with Risk Assessment process for each registered and non-registered location in accordance with FINRA requirements and Firm expectations.
• Assist with communication deficiencies to the business
• Assist with remediation of gaps identified in the Branch Inspections process
• Build relationships with key stakeholders globally
• Assist the Compliance Testing Team, as needed, on monitoring and testing engagements.
• Develop testing and monitoring metrics and contribute to department reporting
• Support issues management development and tracking of Compliance-identified findings
• Support the development of a rules inventory that covers rules and regulations applicable
• Participate in special projects as they arise to enhance compliance functions
• Work closely with other support functions and the business areas to support a culture of compliance across the firm
• Assist in identifying areas for enhanced monitoring or training