Compliance Manager, Finance & Banking

As Compliance Manager, you’ll serve as a trusted compliance partner to Madison Avenue Securities (MAS) advisors and leadership, providing practical guidance across both our broker-dealer and registered investment adviser businesses. As the Chief Compliance Officer’s primary compliance presence in San Diego, you’ll play an important role in helping advisors navigate an evolving regulatory environment, identify and mitigate risk, and maintain strong compliance standards.

This is a highly collaborative role that combines regulatory expertise, relationship-building, and problem-solving while making a meaningful impact on the MAS business.

• Serve as a primary compliance resource for MAS advisors, providing timely, practical guidance on regulatory, policy, and compliance questions.
• Partner with advisors and business leaders to identify compliance risks and develop solutions that meet regulatory and ethical standards.
• Support compliance activities across both the broker-dealer and registered investment adviser businesses.
• Educate advisors and employees on compliance requirements, policies, procedures, and regulatory expectations.
• Assist with customer complaints, including communicating directly with an advisor’s end client when appropriate.
• Help advisors navigate complex or changing regulatory requirements and elevate higher-risk matters to the Chief Compliance Officer or appropriate Compliance team.
• Assist with the development, implementation, and monitoring of compliance policies, procedures, and controls.
• Respond to compliance-related requests from product firms, regulators, internal stakeholders, and other external parties.
• Support advisor suitability requests and provide information requested by product firms.
• Support internal compliance reviews, audits, risk assessments, regulatory examinations, and other monitoring activities.
• Maintain thorough documentation and records related to compliance inquiries, reviews, activities, and resolutions.
• Develop and maintain compliance metrics and reporting to help leadership identify trends, risks, and areas requiring attention.

• 3–5 years of experience in financial services, securities, broker-dealer, registered investment adviser, or related compliance functions.
• Series 7 registration required.
• Strong working knowledge of securities industry regulations and the ability to interpret and apply federal and state regulatory requirements.
• Demonstrated understanding of broker-dealer and investment adviser compliance, including supervision and supervisory responsibilities.
• Strong relationship-building and communication skills, with the ability to establish credibility and explain complex regulatory requirements clearly.
• A collaborative, solutions-oriented approach with the ability to work independently, exercise sound judgment, and know when to escalation compliance matters.

• Series 24 registration.
• Experience with branch or regulatory examinations.
• Experience responding to customer complaints or regulatory inquiries.
• Bachelor’s degree in business, finance, compliance, or a related field.

• Salary range $94,000-$125,000 annually
• Benefits including medical, dental, vision and 401k (with matching options)
• Generous paid time off package upon your start date

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.