Supervising Principal

Madison Avenue Securities•San Diego, CA

1d•Onsite

About The Position

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.

Requirements

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

Nice To Haves

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

Responsibilities

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.