Madison-Davis, LLC
Base pay range
$180,000.00/yr - $225,000.00/yr Overview
This client is a broker dealer located in Midtown Manhattan looking to hire a “Director, Branch Compliance Oversight” to join their team. This role is currently in a hybrid schedule (4 days in office / week). Responsibilities
Manage daily operations of the Branch Inspections team, ensuring compliance with FINRA Rule 3110 Conduct remote and in-person branch inspections, leading all phases from planning to final report issuance Oversee and enhance the Risk Assessment process for registered and non-registered locations Identify trends across branches and escalate issues as needed Review and approve inspection reports, ensuring clear documentation and tracking of remediation plans Prepare summary reports highlighting key findings and trends for senior management Communicate inspection deficiencies to stakeholders prior to report issuance Track and ensure timely resolution of all identified issues Maintain and report metrics internally and to FINRA as part of the pilot program Collaborate with Compliance Testing and business teams to support a strong compliance culture Participate in special projects to improve compliance functions Act as a key contact for senior management, regulators, and auditors, handling complex and non-routine issues Balance multiple projects with a focus on longer-term compliance planning and initiatives Seniority level
Mid-Senior level Employment type
Full-time Job function
Finance Industries
Financial Services and Banking
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$180,000.00/yr - $225,000.00/yr Overview
This client is a broker dealer located in Midtown Manhattan looking to hire a “Director, Branch Compliance Oversight” to join their team. This role is currently in a hybrid schedule (4 days in office / week). Responsibilities
Manage daily operations of the Branch Inspections team, ensuring compliance with FINRA Rule 3110 Conduct remote and in-person branch inspections, leading all phases from planning to final report issuance Oversee and enhance the Risk Assessment process for registered and non-registered locations Identify trends across branches and escalate issues as needed Review and approve inspection reports, ensuring clear documentation and tracking of remediation plans Prepare summary reports highlighting key findings and trends for senior management Communicate inspection deficiencies to stakeholders prior to report issuance Track and ensure timely resolution of all identified issues Maintain and report metrics internally and to FINRA as part of the pilot program Collaborate with Compliance Testing and business teams to support a strong compliance culture Participate in special projects to improve compliance functions Act as a key contact for senior management, regulators, and auditors, handling complex and non-routine issues Balance multiple projects with a focus on longer-term compliance planning and initiatives Seniority level
Mid-Senior level Employment type
Full-time Job function
Finance Industries
Financial Services and Banking
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