Deputy CCO — Broker-Dealer & RIA Compliance Leader
madison avenue securitiesSan Diego, CA
Deputy CCO — Broker-Dealer & RIA Compliance Leader
L7
madison avenue securitiesSan Diego, CA2 days ago
Occupations
Compliance ManagersCompliance OfficersSecurities, Commodities, and Financial Services Sales AgentsIndustries
Investment Banking and Securities IntermediationPortfolio Management and Investment AdviceMiscellaneous Financial Investment ActivitiesMadison Avenue Securities is seeking a Deputy Chief Compliance Officer to lead its broker-dealer and registered investment adviser compliance programs. Reporting to the Chief Compliance Officer, you will provide regulatory expertise, support key compliance functions, mentor team members, and partner with leaders across the organization to strengthen our culture of compliance.
The role requires 5+ years of investment advisory compliance experience and active FINRA Series 7 and Series 24 licenses.
Apply now
Level
ManagerL7
Location
San Diego, CA
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
2 days ago
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