Madison Avenue Securities · 5 hours ago
Surveillance Principal
San Diego, CA
Full-time
Onsite
Lead/Staff
$85K/yr - $115K/yrMadison Avenue Securities is seeking a Surveillance Principal to conduct and enhance their trade and conduct surveillance programs. This role involves monitoring advisor and representative activities to ensure compliance with regulatory requirements and internal policies, while also overseeing the Personal Trading Account and Code of Ethics programs.
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Hiring Manager
Melanie Smith
Responsibilities
Conduct and enhance the firm’s trade and conduct surveillance programs to ensure compliance with regulatory requirements and internal policies
Monitor advisor and representative activities across Madison Avenues Securities to identify potential misconduct, conflicts of interest, or violations of firm standards
Oversee the Personal Trading Account (PTA) and Code of Ethics programs for employees and advisors
Qualification
Required
Proactive, analytical, and detail-oriented compliance professional
Ability to assess complex trading activity
Experience in implementing scalable, risk-based surveillance tools
Company
Madison Avenue Securities
Headquartered in San Diego, California, Madison Avenue Securities is a full service, fully independent Broker/Dealer and Investment Advisory firm servicing financial advisors and their clients with branches from coast to coast.
Founded in 2005
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Villy Fixsen
Chief Operating Officer
Robert Seawright
Chief Investment & Information Officer
Recent News
2025-09-12
Company data provided by crunchbase