Deputy Chief Compliance Officer

Advisor Talent Solutions; San Diego (CA); On-site; USD 150,000 - 190,000; Full time

Benefits offered by this job

Medical, dental, vision

401k with matching

Generous paid time off

Job summary

Madison Avenue Securities is seeking a Deputy Chief Compliance Officer in San Diego, CA, to guide broker-dealer and registered investment adviser compliance programs. You will report to the Chief Compliance Officer and lead regulatory expertise, training, and cross-team collaboration to uphold a strong culture of compliance.

The role requires 5+ years in investment advisory compliance, active FINRA Series 7 and Series 24 licenses, and experience handling regulatory examinations with regulators.

Qualifications

• 5+ years of investment advisory compliance experience.
• Active FINRA Series 7 and Series 24 licenses.
• Experience supporting regulatory examinations and working with regulators.
• Strong knowledge of broker-dealer and RIA regulations and practical solutions.

Responsibilities

• Provide regulatory leadership for broker-dealer and investment adviser compliance programs.
• Lead supervision, surveillance, advertising review, testing, monitoring, and risk assessments.
• Partner with senior leadership and other teams on regulatory matters.
• Support regulatory examinations, audits, and responses to issues.
• Mentor and develop compliance team members.

Skills

FINRA Series 7 license

FINRA Series 24 license

Leadership experience

Regulatory examinations experience

Investment advisory compliance

Education

Bachelor's or advanced degree in related field

Job description

Position: Deputy Chief Compliance Officer

Department: Madison Avenue Securities

Reporting to: Chief Compliance Officer

Location: San Diego, CA

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 escalat 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.

We are not the employer for this position. If you are selected, your employer will be the hiring business. Our team is your main point of contact initially and will guide you through the application process.