Advertising & Compliance Analyst
Asset Marketing Systems & Madison Avenue Securities - San Diego, CA

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Madison Avenue Securities, a San DIego-based full service independent Broker/Dealer and Investment Advisory firm is looking for an Advertising & Compliance Analyst to join our team. In collaboration with the Director of Compliance the essential duties and responsibilities of the position include:

. Oversee spot check audits; email, correspondence, check logs; trade blotters
. Perform general, as well as large-scale and escalated advertising reviews and approvals
. Perform field audits throughout the US in firm’s branch offices
. Perform heightened supervision of RRs, as needed
. Perform firm wide email surveillance
. Provide on-boarding assistance to new RRs through new representative training process
. Communicate policies and procedures to RRs
. Maintain MAS WSP and recommend amendments

We are looking for an experienced individual to fill this role. Additionally, these qualifications are necessary:

. Bachelor’s degree or equivalent work experience
. FINRA Series 7 and 24, 2+ years BD Supervisory/audit or Compliance experience
. 2+ years experience working with financial advisors/registered representatives
. Ability to work independently, with confidential information, prioritize, multi-task at a high level,
and interact with all levels of internal and external contacts
. High level analytical and problem-solving skills
. Excellent oral and written communication skills as well as organizational skills
. High level computer competency to include MS Office and network shared drives
. Excellent proofing and editing skills

Madison Avenue Securities offers a competitive salary, along with excellent benefits. MAS is an equal opportunity employer. No video resumes will be accepted.


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