Deputy Chief Compliance Officer

Advisors Excel, LLC; San Diego (CA); On-site; USD 150,000 - 190,000; Full time

Benefits offered by this job

Medical

Dental

Vision

401k

Paid time off

Job summary

Madison Avenue Securities in San Diego, CA, seeks a Deputy Chief Compliance Officer to lead broker-dealer and registered investment adviser compliance programs. You will partner with leaders to strengthen a culture of compliance and mentor the team.

You will report to the Chief Compliance Officer and guide regulatory examinations, policy development, and risk assessments while staying ahead of evolving FINRA and IARD requirements.

Qualifications

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

Responsibilities

• Provide regulatory 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 subject matter expert on FINRA, Advisers Act, and Form ADV requirements.
• Partner with senior leadership and other teams on compliance and regulatory matters.
• Support regulatory examinations, audits, and responses to compliance issues.
• Identify risks and develop practical solutions to mitigate them.
• Mentor and develop compliance team members.
• Monitor regulatory changes and their impact on the business.
• Support compliance training and education initiatives.

Skills

Regulatory leadership

FINRA knowledge

Exams & audits

Communication skills

Team leadership

Broker-dealer experience

Education

Bachelor's or advanced degree in related field

Job description

Position:Deputy Chief Compliance Officer

Location: San Diego, CA

Remote Status: On-Site

Job Id:4050

# of Openings:1

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.