Candidates in San Diego County, CA or willing to relocate to San Diego, CA will be considered.
Madison Avenue Securities is an independent Broker-Dealer/Registered Investment Adviser (BD/RIA) headquartered in San Diego, CA. We’re looking for talented and licensed securities and advisory professionals to join our growing team! If you are looking for a company where you are empowered to be the change for strong common-sense policies, the voice for clients and advisors across the country, and have a knack for interpreting regulation in ways that make sense for all, we’d like to hear from you.
Under limited supervision, oversee the firm’s supervision and surveillance programs by continuously strengthening registered representative and investment advisor representative (collectively, “investment professional”) adherence to firm protocols and their knowledge thereof, pursuant to FINRA, SEC, and applicable federal and state rules and regulations.
The ideal candidate has a strong background in Supervision and/or Compliance areas with an independent broker-dealer. Previous positions as an OSJ, manager of OSJs, Supervisory Principal, or Director-level Compliance roles are most aligned with the requirements for this job. Seeking a San Diego-based candidate to join the leadership team with strategic initiatives and work closely with investment professionals and Compliance to shape supervision programs of the future.
Essential Duties and Responsibilities:
Job Type: Full-time
Pay: $100,000.00 – $125,000.00 per year
Work Location: Hybrid remote in San Diego, CA 92128
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