Compliance Partner for Financial Advisors

Madison Avenue Securities; San Diego (CA); On-site; USD 94,000 - 125,000; Full time

Benefits offered by this job

Medical, dental, vision

401k with matching

Generous paid time off

Job summary

Madison Avenue Securities, a broker-dealer and registered investment adviser, is seeking a Compliance Manager to serve as a trusted compliance partner and primary compliance presence in San Diego. You will guide advisors, navigate evolving regulations, identify risks, and support regulatory examinations.

The role emphasizes collaboration, problem-solving, and cross-functional coordination across both the broker-dealer and RIA businesses.

Qualifications

• 3–5 years of experience in financial services compliance.
• Series 7 registration required.
• Strong knowledge of federal and state securities regulations.

Responsibilities

• Serve as a primary compliance resource for MAS advisors and leadership.
• Identify compliance risks and develop regulatory-compliant solutions.
• Support compliance activities across broker-dealer and RIA businesses.
• Educate advisors and employees on policies, procedures, and regulatory expectations.
• Assist with customer complaints and communicate with clients when appropriate.

Skills

Regulatory expertise

Securities regulations knowledge

Relationship building

Communication

Independent judgment

Education

Bachelor’s degree in business, finance, compliance

Tools

Series 7

Series 24

Job description

Madison Avenue Securities, a broker-dealer and registered investment adviser, is seeking a Compliance Manager to serve as a trusted compliance partner and primary compliance presence in San Diego. You will guide advisors, navigate evolving regulations, identify risks, and support regulatory examinations.

The role emphasizes collaboration, problem-solving, and cross-functional coordination across both the broker-dealer and RIA businesses.