More jobs:
VP, Compliance & Registration Oversight
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-01-26
Listing for:
Madison-Davis, LLC
Full Time
position Listed on 2026-01-26
Job specializations:
-
HR/Recruitment
Regulatory Compliance Specialist
Job Description & How to Apply Below
A $275 billion asset management firm based in Midtown Manhattan looking to bring on board a “ VP, Compliance & Registration Oversight" to join their team. This role is currently in a hybrid schedule (4 days in office). If you are interested or have any questions, please email at
Responsibilities:
- Coordinate with Compliance and Human Resources teams to manage regulatory pre-hire, onboarding, and offboarding processes for broker-dealer personnel.
- Assist with the preparation and submission of regulatory filings for associated persons, including Forms U4 and U5, fingerprinting, continuing education, and regulatory exams.
- Ensure accurate and timely maintenance of required document retention and registration records.
- Support ad hoc compliance projects and initiatives as needed.
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