Deputy Chief Compliance Officer: Lead Regulatory & Risk
advisor talent solutionsSan Diego, CA
Deputy Chief Compliance Officer: Lead Regulatory & Risk
advisor talent solutionsSan Diego, CA
yesterday
Industries
Investment Banking and Securities IntermediationPortfolio Management and Investment AdviceMiscellaneous Financial Investment ActivitiesAbout the role
Madison Avenue Securities is seeking a Deputy Chief Compliance Officer in San Diego, CA, to guide broker-dealer and registered investment adviser compliance programs. You will report to the Chief Compliance Officer and lead regulatory expertise, training, and cross-team collaboration to uphold a strong culture of compliance.
The role requires 5+ years in investment advisory compliance, active FINRA Series 7 and Series 24 licenses, and experience handling regulatory examinations with regulators.
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JOB OVERVIEW
Experience level
Manager
Location
San Diego, CA
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
yesterday
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