Madison-Davis, LLC
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Base pay range
$180,000.00/yr - $225,000.00/yr An investment bank located in Midtown Manhattan looking to bring on board a “Director - Compliance Testing Team Lead” to join their team. This role is currently in a hybrid schedule (2 days in office / week). Responsibilities: Develop and execute the annual Compliance Test Plan, including planning, scoping, and scheduling of testing activities. Collaborate with the Head of Compliance Monitoring and Testing, as well as other Testing Leads, to ensure timely delivery of all testing engagements. Manage and lead a team of 3–4 compliance testers, including day-to-day oversight and performance development. Design and lead execution of compliance testing engagements, ensuring thorough coverage of key risk areas. Review testing workpapers and monitor testing progress for both self-executed and team-led engagements to ensure quality and consistency. Recruit, mentor, and develop testing professionals to build a strong, capable team. Build and maintain strong relationships with stakeholders across the firm to facilitate open communication and effective collaboration. Engage with stakeholders to exercise credible challenge, agree on issues identified, and assist in developing appropriate remediation plans. Oversee remediation and timely closure of identified issues, coordinating closely with relevant stakeholders and tracking progress. Partner with data and reporting teams to enhance metrics, identify areas for expanded testing, and support continuous improvement of the Compliance function. Seniority level
Seniority level Mid-Senior level Employment type
Employment type Full-time Job function
Job function Finance Industries Financial Services and Banking Referrals increase your chances of interviewing at Madison-Davis, LLC by 2x Inferred from the description for this job
Medical insurance Vision insurance 401(k) Get notified when a new job is posted. Sign in to set job alerts for “Director of Compliance” roles.
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Manhattan, NY $130,000.00-$175,000.00 1 day ago New York, NY $200,000.00-$250,000.00 7 hours ago New York, NY $100,000.00-$135,000.00 2 hours ago New York City Metropolitan Area $180,000.00-$220,000.00 5 days ago New York, NY $125,000.00-$200,000.00 1 week ago New York, NY $170,000.00-$180,000.00 1 week ago Director of Legal Affairs and Compliance
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$180,000.00/yr - $225,000.00/yr An investment bank located in Midtown Manhattan looking to bring on board a “Director - Compliance Testing Team Lead” to join their team. This role is currently in a hybrid schedule (2 days in office / week). Responsibilities: Develop and execute the annual Compliance Test Plan, including planning, scoping, and scheduling of testing activities. Collaborate with the Head of Compliance Monitoring and Testing, as well as other Testing Leads, to ensure timely delivery of all testing engagements. Manage and lead a team of 3–4 compliance testers, including day-to-day oversight and performance development. Design and lead execution of compliance testing engagements, ensuring thorough coverage of key risk areas. Review testing workpapers and monitor testing progress for both self-executed and team-led engagements to ensure quality and consistency. Recruit, mentor, and develop testing professionals to build a strong, capable team. Build and maintain strong relationships with stakeholders across the firm to facilitate open communication and effective collaboration. Engage with stakeholders to exercise credible challenge, agree on issues identified, and assist in developing appropriate remediation plans. Oversee remediation and timely closure of identified issues, coordinating closely with relevant stakeholders and tracking progress. Partner with data and reporting teams to enhance metrics, identify areas for expanded testing, and support continuous improvement of the Compliance function. Seniority level
Seniority level Mid-Senior level Employment type
Employment type Full-time Job function
Job function Finance Industries Financial Services and Banking Referrals increase your chances of interviewing at Madison-Davis, LLC by 2x Inferred from the description for this job
Medical insurance Vision insurance 401(k) Get notified when a new job is posted. Sign in to set job alerts for “Director of Compliance” roles.
Director of Employee Relations & Compliance
Manhattan, NY $130,000.00-$175,000.00 1 day ago New York, NY $200,000.00-$250,000.00 7 hours ago New York, NY $100,000.00-$135,000.00 2 hours ago New York City Metropolitan Area $180,000.00-$220,000.00 5 days ago New York, NY $125,000.00-$200,000.00 1 week ago New York, NY $170,000.00-$180,000.00 1 week ago Director of Legal Affairs and Compliance
Director, Regulatory & Quality (Part-Time)
New York City Metropolitan Area 2 weeks ago New York, NY $150,000.00-$190,000.00 1 week ago Senior Director, Know Your Customer (KYC) Compliance Program
Director, Regional Compliance - East Region
Clifton, NJ $153,000.00-$170,000.00 1 week ago New York City Metropolitan Area $175,000.00-$200,000.00 1 day ago Director - Regulatory Operations Compliance
New York City Metropolitan Area $175,000.00-$200,000.00 2 weeks ago East Hanover, NJ $214,900.00-$399,100.00 2 weeks ago Compliance and Operations Director - Aon Securities
Director of Regulatory Affairs & Compliance
New Hyde Park, NY $165,000.00-$180,000.00 2 months ago Morristown, NJ $160,000.00-$180,000.00 2 weeks ago Deputy Director of Policy and Compliance
New York, NY $185,000.00-$215,000.00 2 weeks ago Director – U.S. Markets Investment Banking Compliance Advisory
New York City Metropolitan Area $180,000.00-$225,000.00 5 days ago Rahway, NJ $169,700.00-$267,200.00 4 days ago New York, NY $160,000.00-$180,000.00 1 day ago Director of Labor and Employee Relations
New York, NY $130,000.00-$150,000.00 2 weeks ago Director of Procurement Services & Contract Compliance
Danbury, CT $106,017.00-$133,787.00 3 months ago New York City Metropolitan Area $170,000.00-$180,000.00 3 weeks ago Associate Director, Chief of Staff U.S. Corporate Banking
Senior Manager (Director), Regulatory Affairs & Pharmacovigilance, USA
New York, NY $175,000.00-$180,000.00 4 days ago Director of Government Contracts & Quality Assurance
New York, NY $90,000.00-$100,000.00 1 week ago Director of Federal & Integrated Regulatory Guidance
New York, NY $150,000.00-$160,000.00 1 week ago New York, NY $160,000.00-$180,000.00 3 weeks ago New York, NY $140,000.00-$170,000.00 1 day ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr