About this opportunity
Advisors Excel, LLC lists this Deputy Chief Compliance Officer opportunity in san diego, California. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Position: Deputy Chief Compliance Officer
Location: San Diego, CA
Remote Status: On-Site
Job Id: 4050
# of Openings: 1
Position: Deputy Chief Compliance Officer
Department: Madison Avenue Securities
Reporting to: Chief Compliance Officer
Overview:
Are you an experienced compliance leader who enjoys solving complex regulatory challenges and partnering with business leaders? Madison Avenue Securities is looking for a Deputy Chief Compliance Officer to help lead our broker-dealer and registered investment adviser compliance programs.
Reporting to the Chief Compliance Officer, you'll provide regulatory expertise, support key compliance functions, develop and mentor team members, and partner with leaders across the organization to strengthen our culture of compliance.
What you'll do:
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 elevate 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
Experience you'll bring:
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
Bonus Points:
Previous CCO or Deputy CCO experience
Additional securities licenses
Bachelor's or advanced degree in a related field
What you'll get:
Salary range $150,000-$190,000 annually
Benefits including medical, dental, vision and 401k (with matching options)
Generous paid time off package upon your start date
Who We Are:
Madison Avenue Securities is an independent broker-dealer and registered investment advisor that supports independent financial advisors with a full suite of investment products and services, along with high-touch, highly responsive practice support and an easy-to-do-business-with culture.
Madison Avenue Securities is an Equal Employment Opportunity Employer. Everyone is welcome here as an inclusive workplace, our employees are always comfortable bringing their true selves to our offices daily.
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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.