Manager, Compliance
Join a great place to work with MissionSquare, a financial services corporation with approximately $79 billion in assets under management and administration and over 600 employees. Founded in 1972, MissionSquare is dedicated to the retirement needs of public sector employees. We focus on delivering results-oriented retirement and retiree health savings plans, education, investment options, personalized guidance, and related services to public sector participants in more than 9,200 plans and nearly 2 million participant accounts. We strive to make the administration of retirement programs as easy and cost-effective as possible. We have an extraordinary talent base and invite you to consider joining MissionSquare.
$95,700.00 - $148,340.00
Reporting to the Chief Compliance Officer, the Compliance Manager provides day-to-day leadership for key elements of MissionSquare’s broker-dealer and investment adviser compliance program. The role serves as a senior compliance resource to the business, helping ensure that business activities are conducted in accordance with applicable FINRA rules, federal securities laws, SEC requirements, firm policies, and supervisory procedures.
Essential Functions for this role include:
- Lead and sustain assigned elements of the risk-based compliance program supporting MissionSquare’s introducing broker-dealer and registered investment adviser.
- Establish priorities and coordinate resources across assigned broker-dealer and investment adviser compliance ...
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