Senior Supervising Principal – Securities Compliance

Madison Avenue Securities; San Diego (CA); On-site; USD 85,000 - 115,000; Full time

Benefits offered by this job

Medical benefits

Dental benefits

Vision benefits

401k with match

Generous PTO

Job summary

Madison Avenue Securities, a leading independent broker-dealer and registered investment advisor, seeks a Supervising Principal in California to oversee independent representatives and ensure regulatory compliance. This role focuses on reviewing accounts, supervising trading, and enforcing firm policies with a strong bias toward risk mitigation.

You will play a key part in training, trend analysis, and cross-department collaboration to enhance supervisory procedures and protect clients and the

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.

Responsibilities

• Review and approve new accounts, transactions, and investment recommendations across securities, advisory, and insurance products to ensure suitability and client best-interest standards.
• Supervise investment professionals to ensure compliance with firm policies and applicable FINRA, SEC, federal, and state regulations.
• Act as a first line of defense against sales practice violations, identifying concerns and taking appropriate corrective action.
• Conduct ongoing surveillance of investment professional activities, including emails, correspondence, outside business activities, trading, and customer account activity.
• Generate and review supervisory and surveillance reports and identify trends or potential compliance concerns.
• Provide ongoing training, guidance, and support to investment professionals and their support staff regarding suitability, compliance, and regulatory requirements.
• Partner with Compliance, Risk, and Operations teams to recommend and implement enhancements to supervisory policies and procedures.
• Support supervisory initiatives, projects, and other departmental responsibilities as needed.

Skills

Regulatory compliance

Supervision

Analytical skills

Communication skills

Education

FINRA Series 7 and 24 license

Tools

Pershing

Salesforce

Job description

Madison Avenue Securities, a leading independent broker-dealer and registered investment advisor, seeks a Supervising Principal in California to oversee independent representatives and ensure regulatory compliance. This role focuses on reviewing accounts, supervising trading, and enforcing firm policies with a strong bias toward risk mitigation.

You will play a key part in training, trend analysis, and cross-department collaboration to enhance supervisory procedures and protect clients and the