Deputy Chief Compliance Officer

Madison Avenue Securities•San Diego, CA

1d•Onsite

About The Position

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, you'll 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.

Requirements

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

Nice To Haves

Previous CCO or Deputy CCO experience
Additional securities licenses
Bachelor's or advanced degree in a related field

Responsibilities

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