Supervising Principal

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

Reporting to: Compliance and Risk Manager

Madison Avenue Securities is looking for a Supervising Principal who will provide comprehensive supervisory oversight of independent registered representatives and investment advisor representatives. They will ensure securities and advisory activities are conducted in accordance with firm policies and applicable FINRA, SEC, federal, and state regulatory requirements.

If you’re a compliance professional who enjoys applying sound judgment, digging into complex transactions, and identifying potential risks — this is an opportunity to make a meaningful impact while helping protect both clients and the firm.

What you’ll do:

• Review and approve new accounts, transactions, and investment recommendations across securities, advisory, and insurance products to ensure suitability and client best-interest standards.
• Serve as Series 53 Municipal Securities Principal and Series 4 Registered Options Principal, including review and approval of municipal securities, 529 plans, options transactions, and new options accounts.
• 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.

Experience you’ll bring:

• Minimum 5 years of experience in the securities industry with a focus on compliance or supervision
• Active FINRA Series7 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 or management deadlines
• Proactive mindset with the ability to work independently and collaboratively in a fast-paced, dynamic environment

Bonus Points:

• Bachelor’s degree in Finance, Business, Compliance, or a related field
• Working knowledge of Pershing clearing systems and Salesforce

What you’ll get:

• Salary range $85,000-$115,000 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.

Presented by Advisor Talent Solutions

Advisor Talent Solutions, part of the AE Management, LLC family of companies, supports independent advisor businesses with their hiring needs. 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. Learn more about our approach and services at advisortalentsolutions.com