Join a great place to work with MissionSquare Retirement, a FINANCIAL SERVICES LEADER in public sector employee retirement products and services. Headquartered in Washington, DC, MissionSquare Retirement was founded to provide portable retirement benefits for city and county managers, enabling accumulated retirement assets to be transferred between employers. Today, MissionSquare Retirement serves more than 1.5 million participant accounts, and more than 9,000 retirement plans across the country. We have an extraordinary talent base and invite you to consider joining MissionSquare Retirement's Corporate Affairs team.
The Senior Corporate Compliance Officer is responsible for helping to 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.
Essential Functions for this role include: - Conduct compliance reviews of regulated entities as necessary to evaluate and test for compliance with applicable rules and regulations, policies and procedures. Provide written reports of findings.
- Review and approve advertising and marketing communications for compliance with applicable regulatory requirements.
- Support various Broker Dealer, Investment Adviser, and State filings.
- Develop Firm Element, Annual Compliance Meeting, and ad hoc trainings for registered representatives and Investment Adviser Representatives.
- Update compliance procedures. Ensure compliance manuals and desktop procedures are aligned and accurately reflect current laws, rules, and other regulatory requirements.
- Keep abreast of changes and new developments in the financial services industry and the impacts these changes have on compliance policies and procedures.
- Other duties as assigned.
If you have the following skills, we encourage you to apply: - BA/BS required
- Five to seven years of experience
- FINRA Series 24
- FINRA Series 7
- Knowledge of Federal Securities Laws, rules of self-regulatory agencies and internal policies and procedures governing mutual funds, investment advisers and broker/dealers is necessary.
- Results oriented with the ability to work independently and make sound decisions on the basis of available information.
- Capable of working effectively with all levels of staff and develop collaborative relationships.
- Excellent written and oral communications skills.
- Ability to interact effectively with external "clients" including regulatory authorities, vendors, and others.
- Above average computer skills set and ability to work with multiple applications.
- Solid research and interpretive skills
To benefit your career and support your wellbeing, we offer: - Competitive Total Rewards (compensation and benefits) package, including 401(k) Plan with matching contributions
- Varied incentive plans
- Flexible/Hybrid work schedules
- Wellness programs
- Tuition reimbursement
- Professional and career development courses
- Mentoring programs
- Volunteerism program
As a company, MissionSquare Retirement is an Equal Opportunity Employer. We strive to create an environment that reflects the value and diversity of our employees and fosters respect among them. We believe that talent from diverse backgrounds will further enhance our ability, and mission, to serve those who serve their communities.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, or any other protected classifications under any applicable law.
Licenses & Certifications
FINRA Series 24
FINRA Series 7
|
