Skip Navigation

VP – Head Of Compliance Control Room

  • NYC
  • Full Time

Apply for the VP – Head Of Compliance Control Room 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.

Large broker dealer located in Midtown Manhattan looking to add a “Vice President, Head Of Compliance Control Room” to their team. This position is in a hybrid schedule and would require 4-7 days per month.


•Analyze data, derive insights and risk indicators with the help of business intelligence tools
•Assist in implementing information barrier policies and procedures by maintaining the watch and restricted lists, deal lists and handling conflicts clearance
•Monitor employee personal trading and electronic communications and perform periodic compliance testing/surveillance
•Monitor employee gift & entertainment, political contributions, and outside business activities
•Communicate with Sales, Trading, Research, Investment Banking personnel regarding specific firm transactions and compliance related issues
•Participate in the drafting of compliance related policies and procedures, making recommendations to develop or enhance business unit procedures as they relate to Compliance Control Room (CCR)
•Act as the gatekeeper and chaperone with respect to permitted conversations between the restricted groups of employees and potential compliance issues arising out of monitored interactions
•Respond to compliance related questions from management and staff
•Assist in keeping the CCR current on relevant regulatory changes
•Develop and implement compliance related monitoring and compliance metrics relevant to CCR functions; perform and/or oversee information for compliance reporting to management
•Develop, coordinate and deliver initial and ongoing training for employees on compliance requirements of designated laws, regulations, and policies