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Supervising Principal

Madison Avenue Securities
  • San Diego, California
    12 days ago

    Job Description

    Position: Supervising Principal
    Reporting to: Compliance and Risk Manager
     
    Overview:
    Madison Avenue Securities is looking for a Supervising Principal who will provide comprehensive supervisory oversight of independent registered representatives and investment advisor representatives. They will ensure securities and advisory activities are conducted in accordance with firm policies and applicable FINRA, SEC, federal, and state regulatory requirements.
     
    If you’re a compliance professional who enjoys applying sound judgment, digging into complex transactions, and identifying potential risks — this is an opportunity to make a meaningful impact while helping protect both clients and the firm.
     
    What you’ll do:
    • Review and approve new accounts, transactions, and investment recommendations across securities, advisory, and insurance products to ensure suitability and client best-interest standards.
    • Serve as Series 53 Municipal Securities Principal and Series 4 Registered Options Principal, including review and approval of municipal securities, 529 plans, options transactions, and new options accounts.
    • Supervise investment professionals to ensure compliance with firm policies and applicable FINRA, SEC, federal, and state regulations.
    • Act as a first line of defense against sales practice violations, identifying concerns and taking appropriate corrective action.
    • Conduct ongoing surveillance of investment professional activities, including emails, correspondence, outside business activities, trading, and customer account activity.
    • Generate and review supervisory and surveillance reports and identify trends or potential compliance concerns.
    • Provide ongoing training, guidance, and support to investment professionals and their support staff regarding suitability, compliance, and regulatory requirements.
    • Partner with Compliance, Risk, and Operations teams to recommend and implement enhancements to supervisory policies and procedures.
    • Support supervisory initiatives, projects, and other departmental responsibilities as needed.
     
    Experience you’ll bring:
    • Minimum 5 years of experience in the securities industry with a focus on compliance or supervision
    • Active FINRA Series7 and 24 license
    • Strong written, verbal, and interpersonal communication skills
    • Strong knowledge of FINRA and SEC regulatory frameworks
    • Excellent analytical, investigative, and problem-solving skills
    • High attention to detail and ability to manage complex workflows
    • Capacity to deliver high-quality work under strict regulatory or management deadlines
    • Proactive mindset with the ability to work independently and collaboratively in a fast-paced, dynamic environment
    Bonus Points:
    • Bachelor’s degree in Finance, Business, Compliance, or a related field
    • Working knowledge of Pershing clearing systems and Salesforce
    What you’ll get:
    • Salary range $85,000-$115,000 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.  https://mas-bd.com/
    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.

    Presented by Advisor Talent Solutions
    Advisor Talent Solutions, part of the AE Management, LLC family of companies, supports independent advisor businesses with their hiring needs. We are not the employer for this position. If you are selected, your employer will be the hiring business. Our team is your main point of contact initially and will guide you through the application process. Learn more about our approach and services at advisortalentsolutions.com

    Numbers & Facts

    LocationSan Diego, California
    Websitehttps://advisortalentsolutions.com/careers/

    Skills

    • Analysis Skillsunmatched
    • Brokerageunmatched
    • Communication Skillsunmatched
    • Corrective Actionunmatched
    • Detail Orientedunmatched
    • Federal Laws and Regulationsunmatched
    • Financeunmatched
    • Insuranceunmatched
    • Interpersonal Skillsunmatched
    • Investment Managementunmatched
    • Investment Servicesunmatched
    • Maintain Complianceunmatched
    • Presentation/Verbal Skillsunmatched
    • Problem Solving Skillsunmatched
    • Registered Investment Advisor (RIA)unmatched
    • Regulationsunmatched
    • Regulatory Complianceunmatched
    • Regulatory Requirementsunmatched
    • Riskunmatched
    • Risk Analysisunmatched
    • Risk Managementunmatched
    • Salesunmatched
    • Salesforce.comunmatched
    • Securitiesunmatched
    • Securities Investmentsunmatched
    • Securities and Exchange Commission (SEC)unmatched
    • Series 7unmatched
    • State Laws and Regulationsunmatched
    • Surveillanceunmatched
    • Time Managementunmatched
    • Training/Teachingunmatched
    • Trend Analysisunmatched
    • Writing Skillsunmatched

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