Surveillance Principal

San Diego, CA - USA

Yearly Salary: $ 85000 - 115000

Posted on: 13 hours ago

Vacancies: 1 Vacancy

Job Summary

Position: Surveillance Principal

Reporting to: Compliance Director Code of Ethics and Surveillance

Overview:

Madison Avenue Securities is seeking a Surveillance Principal to help strengthen and evolve our trade and conduct surveillance programs across our dually registered RIA and Broker-Dealer platform.

This role plays a critical part in protecting the firm our advisors and our clients by identifying potential misconduct conflicts of interest and regulatory risk. Youll combine analysis with sound judgment to monitor trading activity oversee personal trading and Code of Ethics programs and continuously improve our risk-based surveillance framework.

If youre a proactive compliance professional who enjoys digging into data spotting patterns and improving systems this is a role where your expertise will truly matter.

What youll do:

Trade & Conduct Surveillance

Conduct daily surveillance of advisor and representative activity including trading patterns account activity outside business activities and conduct-related matters
Review exception reports to identify trends emerging risks and potential red flags
Investigate and escalate suspicious or non-compliant activity with clear well-documented findings
Refine surveillance alert parameters to improve effectiveness and reduce false positives
Evaluate and recommend enhancements to surveillance rules in response to regulatory product and business changes

Personal Trading & Code of Ethics Oversight

Oversee the firms Personal Trading Account (PTA) surveillance program in accordance with the Code of Ethics
Design and maintain PTA surveillance rules to detect potential violations
Review flagged activity and escalate issues to Compliance leadership as appropriate
Stay current on regulatory guidance and industry best practices related to personal trading and ethics

Testing Risk Reviews & Issue Management

Support the development and execution of the firms Surveillance Program
Conduct targeted reviews and thematic risk assessments
Partner with business units and Compliance leadership to remediate identified issues
Track and report on corrective actions and surveillance enhancements

Collaboration & Reporting

Serve as a subject matter expert on surveillance protocols and personal trading oversight
Provide regular reporting and insights to Compliance leadership
Support training initiatives related to conduct expectations and surveillance processes

Experience youll bring:

Minimum 5 years of experience in the securities industry with a focus on compliance supervision or surveillance
Active FINRA Series 24 license
Strong written verbal and interpersonal communication skills
Strong knowledge of FINRA and SEC regulatory frameworks
Experience analyzing trading data and exception reports
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:

Experience with surveillance platforms such as FIS Protegent or similar tools
Advanced data analysis skills using Excel Alteryx and/or Power BI
Familiarity with access person requirements personal trading surveillance and Code of Ethics administration
Bachelors degree in Finance Business Compliance or a related field

What youll get:

Salary range $85000-$115000 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. 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

#LI-MS1

Position: Surveillance PrincipalReporting to: Compliance Director Code of Ethics and SurveillanceOverview: Madison Avenue Securities is seeking a Surveillance Principal to help strengthen and evolve our trade and conduct surveillance programs across our dually registered RIA and Broker-Dealer platfo...