Surveillance Principal
About The Position
Madison Avenue Securities is seeking a Surveillance Principal to help strengthen and evolve our trade and conduct surveillance programs across our dually registered RIA and Broker-Dealer platform. This role plays a critical part in protecting the firm, our advisors, and our clients by identifying potential misconduct, conflicts of interest, and regulatory risk. You’ll combine analysis with sound judgment to monitor trading activity, oversee personal trading and Code of Ethics programs, and continuously improve our risk-based surveillance framework. If you’re a proactive compliance professional who enjoys digging into data, spotting patterns, and improving systems — this is a role where your expertise will truly matter.
Requirements
- Minimum 5 years of experience in the securities industry with a focus on compliance, supervision, or surveillance
- Active FINRA Series 24 license
- Strong written, verbal, and interpersonal communication skills
- Strong knowledge of FINRA and SEC regulatory frameworks
- Experience analyzing trading data and exception reports
- 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
- Experience with surveillance platforms such as FIS Protegent or similar tools
- Advanced data analysis skills using Excel, Alteryx, and/or Power BI
- Familiarity with access person requirements, personal trading surveillance, and Code of Ethics administration
- Bachelor’s degree in Finance, Business, Compliance, or a related field
Responsibilities
- Conduct daily surveillance of advisor and representative activity, including trading patterns, account activity, outside business activities, and conduct-related matters
- Review exception reports to identify trends, emerging risks, and potential red flags
- Investigate and escalate suspicious or non-compliant activity with clear, well-documented findings
- Refine surveillance alert parameters to improve effectiveness and reduce false positives
- Evaluate and recommend enhancements to surveillance rules in response to regulatory, product, and business changes
- Oversee the firm’s Personal Trading Account (PTA) surveillance program in accordance with the Code of Ethics
- Design and maintain PTA surveillance rules to detect potential violations
- Review flagged activity and escalate issues to Compliance leadership as appropriate
- Stay current on regulatory guidance and industry best practices related to personal trading and ethics
- Support the development and execution of the firm’s Surveillance Program
- Conduct targeted reviews and thematic risk assessments
- Partner with business units and Compliance leadership to remediate identified issues
- Track and report on corrective actions and surveillance enhancements
- Serve as a subject matter expert on surveillance protocols and personal trading oversight
- Provide regular reporting and insights to Compliance leadership
- Support training initiatives related to conduct expectations and surveillance processes
Benefits
- 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
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
