Deputy Chief Compliance Officer

Advisor Talent Solutions • San Diego, CA

2d • $150,000 - $190,000 • Onsite

About The Position

Madison Avenue Securities is seeking an experienced compliance leader to serve as the Deputy Chief Compliance Officer. This role will help lead the broker-dealer and registered investment adviser compliance programs. Reporting to the Chief Compliance Officer, the Deputy Chief Compliance Officer will provide regulatory expertise, support key compliance functions, develop and mentor team members, and partner with leaders across the organization to strengthen the company's 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

Benefits

• Medical insurance
• Dental insurance
• Vision insurance
• 401k with matching options
• Generous paid time off package upon your start date

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: Associate degree