Deputy Chief Compliance Officer: Lead Regulatory & Risk

Advisor Talent Solutions; San Diego (CA); Presencial; USD 150.000 - 190.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Medical, dental, vision

401k with matching

Generous paid time off

Descripción de la vacante

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.

Formación

• 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.

Responsabilidades

• 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.

Conocimientos

FINRA Series 7 license

FINRA Series 24 license

Leadership experience

Regulatory examinations experience

Investment advisory compliance

Educación

Bachelor's or advanced degree in related field

Descripción del empleo

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.