$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 activities to ensure regulatory obligations are met effectively and consistently.
- Provide practical, solutions-oriented compliance guidance on brokerage and advisory activities, including conflicts of interest, fiduciary obligations, Regulation Best Interest, disclosures, sales practices, and supervisory requirements.
- Serve as a compliance partner on new products, advisory programs, account types, compensation arrangements, digital capabilities, operational changes, and other strategic initiatives affecting the broker-dealer or investment adviser.
- Lead assigned workstreams for SEC, FINRA, state, and other regulatory examinations, inquiries, and document requests, including evidence collection, response drafting, quality control, status reporting, and meeting support.
- Performs other duties as assigned
If you have the following skills, we encourage you to apply:- Bachelor's degree or an equivalent combination of education and relevant professional experience.
- At least five years of progressive compliance experience supporting a broker-dealer, registered investment adviser, or dual-registrant.
- Strong working knowledge of applicable FINRA rules governing introducing broker-dealers, the Securities Exchange Act of 1934, Regulation Best Interest, the Investment Advisers Act of 1940, and related SEC regulations and guidance.
- Demonstrated experience preparing, updating, and coordinating Form ADV and Form CRS filings, including amendment analysis, disclosure reviews, and applicable client delivery requirements.
- Demonstrated ability to lead significant compliance programs, regulatory workstreams, or cross-functional initiatives without relying on formal people-management authority.
- Strong organizational, analytical, written, and oral communication skills, with the ability to exercise sound judgment, manage competing priorities, and independently handle sensitive matters.
- FINRA Series 7 and Series 24 registrations preferred.
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.
