Deputy Chief Compliance Officer

Madison Avenue Securities, LLC; San Diego (CA); On-site; USD 150,000 - 190,000; Full time

Benefits offered by this job

Medical benefits

Dental benefits

Vision benefits

401k match

Generous PTO

Job summary

Madison Avenue Securities is seeking a Deputy Chief Compliance Officer to lead its broker-dealer and registered investment adviser compliance programs. Reporting to the Chief Compliance Officer, you will provide regulatory expertise, support key compliance functions, mentor team members, and partner with leaders across the organization to strengthen our culture of compliance.

The role requires 5+ years of investment advisory compliance experience and active FINRA Series 7 and Series 24 licenses.

Qualifications

• 5+ years of investment advisory compliance experience.
• Active FINRA Series 7 and Series 24 licenses.
• Leadership experience managing, developing, and influencing others.
• Experience with both broker-dealer and RIA businesses.
• Experience supporting regulatory examinations and working with regulators.
• Strong knowledge of compliance regulations and the ability to translate regulatory guidance into practical business solutions.
• Strong communication, organization, judgment, and problem-solving skills.

Responsibilities

• Provide regulatory expertise and leadership for broker-dealer and investment adviser compliance programs, policies, and procedures.
• Lead and support compliance functions including supervision, surveillance, advertising review, testing, monitoring, and risk assessments.
• Serve as a subject matter expert on FINRA, Investment Advisers Act, and Form ADV requirements.
• Partner with senior leadership, Legal, Operations, Sales, registered representatives, and other teams on compliance and regulatory matters.
• Support regulatory examinations, audits, and responses to compliance issues.
• Identify and elevate risks while helping develop practical solutions.
• Help lead, mentor, and develop compliance team members.
• Monitor regulatory and industry changes and evaluate their impact on the business.
• Support compliance training and education initiatives.

Skills

Leadership

Series 7

Series 24

Investment advisory

Broker-dealer

RIA experience

Regulatory examinations

Communication skills

Problem-solving

Education

Bachelor's degree

Job description

Position: Deputy Chief Compliance Officer

Department: Madison Avenue Securities

Reporting to: Chief Compliance Officer

Overview:

Are you an experienced compliance leader who enjoys solving complex regulatory challenges and partnering with business leaders? Madison Avenue Securities is looking for a Deputy Chief Compliance Officer to help lead our broker-dealer and registered investment adviser compliance programs.

Reporting to the Chief Compliance Officer, you'll provide regulatory expertise, support key compliance functions, develop and mentor team members, and partner with leaders across the organization to strengthen our culture of compliance.

What you’ll do:

• Provide regulatory expertise and leadership for broker-dealer and investment adviser compliance programs, policies, and procedures
• Lead and support compliance functions including supervision, surveillance, advertising review, testing, monitoring, and risk assessments
• Serve as a subject matter expert on FINRA, Investment Advisers Act, and Form ADV requirements
• Partner with senior leadership, Legal, Operations, Sales, registered representatives, and other teams on compliance and regulatory matters
• Support regulatory examinations, audits, and responses to compliance issues
• Identify and elevate risks while helping develop practical solutions
• Help lead, mentor, and develop compliance team members
• Monitor regulatory and industry changes and evaluate their impact on the business
• Support compliance training and education initiatives

Experience you’ll bring:

• 5+ years of investment advisory compliance experience
• Active FINRA Series 7 and Series 24 licenses
• Leadership experience managing, developing, and influencing others
• Experience with both broker-dealer and RIA businesses
• Experience supporting regulatory examinations and working with regulators
• Strong knowledge of compliance regulations and the ability to translate regulatory guidance into practical business solutions
• Strong communication, organization, judgment, and problem-solving skills

Bonus Points:

• Previous CCO or Deputy CCO experience
• Additional securities licenses
• Bachelor's or advanced degree in a related field

What you’ll get:

• Salary range $150,000-$190,000 annually
• Benefits including medical, dental, vision and 401k (with matching options)
• Generous paid time off package upon your start date

Who We Are:

Madison Avenue Securities is an independent broker-dealer and registered investment advisor that supports independent financial advisors with a full suite of investment products and services, along with high-touch, highly responsive practice support and an easy-to-do-business-with culture. https://mas-bd.com/

Madison Avenue Securities is an Equal Employment Opportunity Employer. Everyone is welcome here – as an inclusive workplace, our employees are always comfortable bringing their true selves to our offices daily.