Deputy Chief Compliance Officer

Position: Deputy Chief Compliance Officer

Department: Madison Avenue Securities

Reporting to: Chief Compliance Officer

Location: San Diego CA- On-site

Overview:

Are you an experienced compliance leader who enjoys solving complex regulatory challenges and partnering with business leaders Madison Avenue Securities is looking for a Deputy Chief Compliance Officer to help lead our broker-dealer and registered investment adviser compliance programs.

Reporting to the Chief Compliance Officer youll provide regulatory expertise support key compliance functions develop and mentor team members and partner with leaders across the organization to strengthen our culture of compliance.

What youll do:

• Provide regulatory expertise and leadership for broker-dealer and investment adviser compliance programs policies and procedures
• Lead and support compliance functions including supervision surveillance advertising review testing monitoring and risk assessments
• Serve as a subject matter expert on FINRA Investment Advisers Act and Form ADV requirements
• Partner with senior leadership Legal Operations Sales registered representatives and other teams on compliance and regulatory matters
• Support regulatory examinations audits and responses to compliance issues
• Identify and escalate risks while helping develop practical solutions
• Help lead mentor and develop compliance team members
• Monitor regulatory and industry changes and evaluate their impact on the business
• Support compliance training and education initiatives

Experience youll bring:

• 5 years of investment advisory compliance experience
• Active FINRA Series 7 and Series 24 licenses
• Leadership experience managing developing and influencing others
• Experience with both broker-dealer and RIA businesses
• Experience supporting regulatory examinations and working with regulators
• Strong knowledge of compliance regulations and the ability to translate regulatory guidance into practical business solutions
• Strong communication organization judgment and problem-solving skills

Bonus Points:

• Previous CCO or Deputy CCO experience
• Additional securities licenses
• Bachelors or advanced degree in a related field

What youll get:

• Salary range $150000-$190000 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. 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.

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Required Experience:

Chief