Deputy Chief Compliance Officer — Broker-Dealer & RIA Leader
advisors excelSan Diego, CA
Deputy Chief Compliance Officer — Broker-Dealer & RIA Leader
L7
advisors excelSan Diego, CAtoday
Occupations
Compliance ManagersCompliance OfficersSecurities, Commodities, and Financial Services Sales AgentsIndustries
Investment Banking and Securities IntermediationPortfolio Management and Investment AdviceMiscellaneous Financial Investment ActivitiesMadison 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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Level
ManagerL7
Location
San Diego, CA
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
today
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