Compliance Manager, Broker-Dealer & Advisor (Hybrid)

MissionSquare; Washington (District of Columbia); Hybrid; USD 96,000 - 148,000; Full time

Benefits offered by this job

Total Rewards package

Hybrid work schedules

Tuition reimbursement

Career development opportunities

Wellness programs

Volunteerism initiatives

Job summary

MissionSquare in Washington, DC, seeks a Compliance Manager to lead the broker-dealer and investment adviser compliance program, ensuring adherence to FINRA, SEC rules, and federal laws. This senior role reports to the Chief Compliance Officer and supports strategic initiatives and regulatory examinations.

The ideal candidate has 5+ years in compliance, solid knowledge of Reg BI and disclosures, and experience coordinating Form ADV/CRS filings.

Qualifications

• Bachelor's degree or equivalent combination of education and professional experience.
• At least five years of progressive compliance experience supporting a broker-dealer or registered investment adviser.
• Strong working knowledge of FINRA rules, the Securities Exchange Act of 1934, Regulation Best Interest, and the Investment Advisers Act of 1940.

Responsibilities

• Lead and sustain assigned elements of the risk-based compliance program for broker-dealer and registered investment adviser.
• Coordinate resources to ensure regulatory obligations are met effectively and consistently.
• Provide practical compliance guidance on brokerage and advisory activities, including conflicts of interest, fiduciary obligations, Reg BI, disclosures, and supervision.
• Partner on new products, advisory programs, account types, compensation, digital capabilities, and operational changes.
• Lead workstreams for SEC, FINRA, state examinations, and document requests, including evidence collection and response drafting.

Skills

Compliance leadership

Regulatory knowledge

Form ADV/CRS filings

Reg BI understanding

Communication skills

Independent problem solving

Education

Bachelor's degree or equivalent

Job description

MissionSquare in Washington, DC, seeks a Compliance Manager to lead the broker-dealer and investment adviser compliance program, ensuring adherence to FINRA, SEC rules, and federal laws. This senior role reports to the Chief Compliance Officer and supports strategic initiatives and regulatory examinations.

The ideal candidate has 5+ years in compliance, solid knowledge of Reg BI and disclosures, and experience coordinating Form ADV/CRS filings.