Senior Compliance & Supervisory Principal (FINRA/SEC)

Advisor Talent Solutions; San Diego (CA); On-site; USD 85,000 - 115,000; Full time

Benefits offered by this job

Salary range $85,000-$115,000 annually

Medical, dental, vision and 401k with

Generous paid time off

Job summary

Madison Avenue Securities is seeking a Supervising Principal to provide comprehensive oversight of registered representatives and investment advisor representatives, ensuring all securities and advisory activities align with policies and regulatory requirements. You’ll review accounts and approve transactions while maintaining client best interests.

The role requires Series 7 and 24, strong regulatory knowledge, and the ability to manage complex workflows under tight deadlines.

Qualifications

• Minimum 5 years of experience in the securities industry with a focus on compliance or supervision.
• Active FINRA Series 7 and 24 license.
• Strong written, verbal, and interpersonal communication skills.
• Strong knowledge of FINRA and SEC regulatory frameworks.
• Excellent analytical, investigative, and problem-solving skills.
• High attention to detail and ability to manage complex workflows.
• Capacity to deliver high-quality work under strict regulatory deadlines.
• Proactive mindset with the ability to work independently and collaboratively.

Responsibilities

• Review and approve new accounts, transactions, and investment recommendations to ensure suitability and client best-interest standards.
• Supervise municipal securities, 529 plans, options transactions, and new options accounts as Series 53 and Series 4 Principal.
• Supervise investment professionals to ensure compliance with firm policies and regulations.
• Act as a first line of defense against sales practice violations and take corrective action.
• Conduct ongoing surveillance of investment professional activities and trading activity.
• Generate and review supervisory reports and identify trends or concerns.
• Provide ongoing training and guidance on suitability and regulatory requirements.
• Partner with Compliance, Risk, and Operations to enhance policies and procedures.
• Support supervisory initiatives and departmental responsibilities.

Skills

Communication skills

Analytical skills

Attention to detail

Regulatory knowledge

Education

Bachelor's degree in Finance, Business, Compliance, or related field

Tools

Pershing clearing systems

Salesforce

Job description

Madison Avenue Securities is seeking a Supervising Principal to provide comprehensive oversight of registered representatives and investment advisor representatives, ensuring all securities and advisory activities align with policies and regulatory requirements. You’ll review accounts and approve transactions while maintaining client best interests.

The role requires Series 7 and 24, strong regulatory knowledge, and the ability to manage complex workflows under tight deadlines.