Job Description

ROLE: Under limited supervision, supports the Compliance Manager, Chief Compliance Officer and Compliance department personnel as well as Registered Representatives.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

• Perform high volume advertising reviews and results – maintain log of all results and related reporting. Reviews will include Websites , Mailers, Invitations, Seminars, Presentations / PowerPoint, Sales Literature, Newsletters, E-mails, Correspondence, Radio Appearance
• Manage submissions of appropriate materials with the FINRA Advertising Regulations Department and related record retention
• Strongly supports registered reps in a timely and professional customer service-oriented capacity
• Collaborates on varying compliance projects within department
• Assists in the maintenance of a variety of logs and spreadsheets for department
• Provide support, as needed, for Compliance Department with regard to branch office audits, including travel to perform on-site branch office audits, pre-audit prep, and follow up
• Performs internal audits and other OSJ surveillance functions

QUALIFICATIONS:

• Bachelor’s degree preferred
• Minimum of three (3) years experience in securities, investment advisory, financial planning, banking, and/or insurance; preferably within a Compliance department
• Series 7 & 24 required; Series 65 or 66 preferred
• 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 proficiency to include MS Office applications and network shared drives
• Excellent proofing and editing skills with strong attention to detail
• Travel up to 25% of the time

PHYSICAL DEMANDS AND WORK ENVIRONMENT: The physical demands and work environment characteristics described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• PHYSICAL DEMANDS: While performing the duties of this job, the employee is frequently required to sit; use hands to finger, handle, feel objects, and type on keyboard; reach with hands and arms; talk and hear. Specific vision abilities required by the job include close vision, distance vision, depth perception, and the ability to adjust focus.

• WORK ENVIRONMENT: The noise level in the work environment is usually minimal.

Company Description

Madison Avenue Securities, LLC is an independent broker-dealer and registered investment advisor. We act as an advocate for our advisors and assist their clients in all financial matters.