$73,810.00 - $110,720.00
The Compliance Officer is responsible for helping ensure that MissionSquare Retirement's regulated entities operate in compliance with applicable securities laws, rules and regulations of self-regulatory agencies, and internal policies and procedures. The role supports the development, maintenance, oversight, and testing of the compliance policy and procedural framework. This position performs reviews, prepares documentation, supports regulatory filings, assists with training, and helps maintain effective compliance operations across the organization.
Essential Functions for this role include:- Conduct compliance reviews of regulated entities to evaluate and test adherence to applicable rules, regulations, policies, and procedures; prepare written reports of findings.
- Review and approve advertising, marketing communications, and client-facing materials to ensure compliance with regulatory requirements and internal standards.
- Support required Broker-Dealer, Investment Adviser, and State regulatory filings by preparing, reviewing, and submitting documentation accurately and on time.
- Develop and deliver Firm Element, Annual Compliance Meeting content, and other training materials for registered representatives and Investment Adviser Representatives.
- Update and maintain compliance procedures, ensuring manuals, desktop procedures, and related documentation accurately reflect current laws, rules, and regulatory expectations.
- Monitor regulatory developments, industry changes, and emerging risks; evaluate the impact on compliance policies, procedures, and controls and recommend enhancements as appropriate.
- Assist in the identification, documentation, and tracking of issues and corrective actions; follow up with stakeholders to support timely remediation and closure.
- Prepare summaries, reports, and updates for leadership, including compliance review results, testing outcomes, and risk insights.
- Collaborate with Compliance teammates and business partners to ensure consistent application of compliance requirements and provide support as needed during workload peaks or absences.
- Performs other duties as assigned
If you have the following skills, we encourage you to apply:- Bachelor's degree required (preferred fields: Business, Finance, Accounting, Economics, Public Policy, or related discipline)
- 2+ years of experience in Broker-Dealer, Investment Adviser, or mutual fund compliance, Financial services compliance, supervision, audit, or risk management, Direct work with federal and state securities regulations and SRO requirements
- Strong understanding of compliance concepts, regulatory expectations, and operational controls.
- Ability to produce clear, well-structured documentation and follow defined procedures with consistency and accuracy.
- Strong organizational and time-management skills with the ability to prioritize multiple tasks.
- Proficiency with Microsoft Office and comfort navigating systems, workflow tools, and data repositories.
- Securities license: FINRA Series 7 and Series 24
- Series 63/65/66 depending on product set
- Strong working knowledge of securities laws, SRO rules, and compliance requirements
- Ability to interpret and apply regulations, conduct reviews/testing, and produce clear documentation
- Effective communication skills with strong attention to detail and sound decision-making
- Ability to collaborate across teams and interact professionally with internal and external stakeholders
- Proficiency with compliance systems and organizational skills to manage multiple deadlines and adapt to new regulatory topics
To benefit your career and support your wellbeing, we offer:- Competitive Total Rewards package, including base pay, incentive programs, benefits, and a 401(k) plan with matching contributions
- Flexible and hybrid work schedules to support work-life balance
- Tuition reimbursement to support continued education
- Professional and career development opportunities, including courses and certifications
- Comprehensive wellness programs promoting physical, mental, and emotional health
- Volunteerism initiatives to encourage community engagement
Click here to learn more about MissionSquare's benefits.
