About this opportunity
Advisors Excel, LLC lists this Deputy Chief Compliance Officer — Broker-Dealer & RIA Leader opportunity in san diego, California. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Madison Avenue Securities in San Diego, CA, seeks a Deputy Chief Compliance Officer to lead broker-dealer and registered investment adviser compliance programs. You will partner with leaders to strengthen a culture of compliance and mentor the team.
You will report to the Chief Compliance Officer and guide regulatory examinations, policy development, and risk assessments while staying ahead of evolving FINRA and IARD requirements.
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Worksite address
san diego, CA, 92189, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.