Supervising Principal

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

Reporting to: Compliance and Risk Manager

Overview:

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 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 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.