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Compliance Manager
Job Location:
Job Location:
San Diego, CA - USA
Yearly Salary:
$ 94000 - 125000
Yearly Salary:
Posted:
18 August 2026 (5 hours ago)
Posted:
Application Deadline:
15 November 2026
Application Deadline:
Vacancies:
1 Vacancy
Vacancies:
Job Summary
Position: Compliance Manager
Department: Madison Avenue Securities
Reporting to: Chief Compliance Officer
Location: San Diego CA
Overview:
As Compliance Manager youll 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 Officers primary compliance presence in San Diego youll 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.
What youll do:
- 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 advisors end client when appropriate.
- Help advisors navigate complex or changing regulatory requirements and escalate 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.
Experience youll bring:
- 35 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 escalate compliance matters.
Bonus Points:
- Series 24 registration.
- Experience with branch or regulatory examinations.
- Experience responding to customer complaints or regulatory inquiries.
- Bachelors degree in business finance compliance or a related field.
What youll get:
- Salary range $94000-$125000 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.
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Required Experience:
Manager
About Company
Advisor Talent Solutions partners with independent financial advisors nationwide to support their hiring and talent needs.
