Skip Navigation

Director, Prime Brokerage Compliance Advisor

  • Midtown Manhattan
  • Full Time

Apply for the Director, Prime Brokerage Compliance Advisor position

"*" indicates required fields

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

Broker dealer located in Midtown Manhattan looking to bring on board an “Director, Prime Brokerage Compliance Advisor” to join their team. This role is currently in a hybrid capacity (3 days per week).


• Provide Compliance support to US Prime Brokerage business in developing appropriate controls and procedures to mitigate business and product specific regulatory risks
• Contribute to the development of the Prime Brokerage business control framework
• Advise on regulatory requirements related to Arranged Financing, Enhanced Leverage and Portfolio Margining programs
• Knowledge of regulations associated with Securities Prime Brokerage operations, including Regulation T, U, X and applicability of such regulations
• Partner with business and support functions to formalize plans for business expansion
• Interact with securities regulators and preparing applications required for regulatory approvals
• Work closely with Prime Brokerage Business Heads and Margin Control teams on the implementation of regulatory initiatives
• Train business and operations support teams on relevant rules and regulations
• Update Compliance policies and procedures to address current rules, regulations, and business model
• Assist in the responding to regulatory inquiries and regulatory examinations, audits and preparing compliance risk assessments