$95,700.00 - $148,340.00
Reporting to the Deputy Chief Compliance Officer, the Manager, Compliance provides day-to-day oversight of assigned compliance activities and supports the execution of the firm's compliance program. The role manages a team responsible for testing and monitoring, policy maintenance, marketing and communications reviews, issues management, regulatory requests, and overall operational support. The position operates within a standardized team structure that allows Managers to be assigned to any of the compliance groups based on business needs.
Essential Functions for this role include:- Plan and prioritize daily and weekly work across the team to ensure service standards, turnaround expectations, and regulatory requirements are met.
- Oversee execution of the compliance testing and monitoring program, including review of workpapers, evaluation of exceptions, and delivery of clear written reports.
- Maintain assigned policies and procedures, ensuring timely updates, version control, approvals, and firm-wide communication.
- Review marketing, advertising, client communications, and related materials for regulatory compliance using established processes and criteria.
- Coordinate regulatory exams, inquiries, and document requests, including organization of evidence, drafting responses, and supporting meetings with regulators.
- Manage the issues lifecycle, from identification and documentation through remediation, validation, and closure.
- Provide coaching, feedback, and performance support to the Compliance Officer and Compliance Analyst to ensure consistent quality and development.
- Partner with business units to integrate compliance requirements into new processes, initiatives, and service models; support updates to documentation and training as needed.
- Prepare status updates, risk insights, and summary materials for senior leadership.
- Provide coverage for other Compliance Managers during peak periods or absences to maintain continuity of operations.
- Perform other duties as assigned.
If you have the following skills, we encourage you to apply:- Bachelor's Degree,
- Minimum 5 years of broker-dealer and investment adviser compliance experience
- Minimum 3 years leading broker-dealer or investment adviser compliance teams
- Strong knowledge of FINRA rules and Investment Advisers Act of 1940 and the Securities Exchange Act of 1934.
- Ability to work independently and manage multiple projects simultaneously.
- Securities license: S7, S24, S63 and S65, or S66.
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
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