Compliance Manager

Mischler Financial Group; Irvine (CA); On-site; USD 80,000 - 120,000; Full time

Benefits offered by this job

401(k)

Medical

Dental

Vision

Life Insurance

Employee Assistance Program (EAP)

Job summary

A securities industry leader located in Irvine, CA is in search of a Compliance Manager. This role includes managing regulatory compliance, risk assessments, and credit analysis. The ideal candidate will have at least 4 years of experience in the broker-dealer industry, strong analytical skills, and knowledge of SEC and FINRA regulations. Excellent communication is essential, and familiarity with tools such as Microsoft Excel and Bloomberg TOMS is preferred. The position offers competitive benefits including 401(k) and medical coverage.

Qualifications

• Bachelor's degree in finance, business administration, or a related field.
• 4+ years of relevant experience in the broker-dealer industry.
• Knowledge of SEC, FINRA regulations.
• Excellent analytical skills to interpret data sets.

Responsibilities

• Assess internal controls and risk areas.
• Monitor customer credit accounts for potential risks.
• Review regulatory trade reporting activities.
• Provide research support for regulatory inquiries.

Skills

Analytical skills

Communication skills

Ability to work independently

Knowledge of securities regulations

Education

Bachelor’s degree in finance or related field

Tools

Microsoft Excel

Bloomberg TOMS

Job description

About Mischler Financial Group, Inc.: Established in 1994, Mischler Financial Group, Inc. (MFG) is the securities industry’s oldest diversity-certified broker‑dealer that is owned and operated by service‑disabled veterans (SDV). Our core competencies encompass investment banking and underwriting services for primary debt and equity capital market transactions, secondary market sales and trading, as well as foreign exchange. Our mission is to preserve and protect the interests of those that we serve. We leave no client behind.

General Description: MFG is seeking a detail‑oriented Compliance Manager to join our firm. In this position, you will perform a variety of regulatory compliance and risk management duties. Additional responsibilities may include credit monitoring, financial analysis & reporting, and support for various business development and operations projects.

The ideal candidate will have a strong foundation in regulatory compliance and risk management with exposure to trade surveillance practices and financial analysis within a broker‑dealer, investment management, or financial services environment.

General Responsibilities

• Assess internal controls, including risk assessments and review of high‑risk areas.
• Assess the creditworthiness of new and existing customers by analyzing financial statements, credit reports, and other relevant data.
• Monitor and review customer credit accounts to identify potential risks or recommend credit limit adjustments.
• Identify and analyze trends and patterns related to credit risk and provide recommendations for mitigating potential risks.
• Focus on assessing, monitoring, and reviewing credit activities to support the firm’s financial stability and margin requirements.
• Use appropriate technology to perform equity and fixed‑income trade surveillance.
• Review and monitor periodic regulatory trade reporting activities (best execution, TRACE, MSRB, CAT, CAIS, 605/606, etc.).
• Provide research and analytic support for periodic regulatory inquiries.
• Assist with the preparation of regulatory financial filings.
• Review reconciliations of clearing broker transaction activity and account balances.

Qualifications

Required:

• Bachelor’s degree in finance, business administration, or a related field.
• 4+ years of relevant experience within the broker‑dealer industry or financial services sector.
• Knowledge of securities regulations, including SEC, FINRA, and margin reporting requirements.
• Excellent analytical skills with the ability to interpret complex data sets and identify trends, patterns, and anomalies.
• Excellent verbal and written communication skills.
• Ability to work independently and collaboratively in a fast‑paced and dynamic environment with a commitment to professionalism, integrity, and ethical conduct.

Preferred

• FINRA licenses: SIE, 7, 14, 27, and/or 63.
• Proficiency in Microsoft Excel, Word, Outlook, Access.
• Proficiency in Instinet, Bloomberg TOMS & CMGR/VMGR.

Benefits

• 401(k)
• Medical
• Dental
• Vision
• Life Insurance
• Employee Assistance Program (EAP)

Equal Employment Opportunity / Reasonable Accommodation Statement
Mischler Financial Group, Inc. is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex (including pregnancy, gender identity, and sexual orientation), national origin, age, disability, protected veteran status, genetic information, or any other characteristic protected under federal, state, or local law. MFG is committed to providing reasonable accommodations to applicants and employees with disabilities. If you need assistance or an accommodation due to a disability, please contact Human Resources.