Manager, Compliance

LE_ICMA-RC International City Management Association Retirement Corporation; United States; Hybrid; USD 96,000 - 148,000; Full time

Benefits offered by this job

Total rewards package

Hybrid work schedule

Tuition reimbursement

Career development opportunities

Wellness programs

Job summary

MissionSquare, a financial services corporation, is seeking a Compliance Manager to lead key elements of the broker-dealer and investment adviser compliance program. You will ensure activities comply with FINRA rules, federal securities laws, SEC requirements, firm policies, and supervisory procedures.

Reporting to the Chief Compliance Officer, you will guide regulatory examinations, coordinate cross-functional initiatives, and provide practical compliance guidance across brokerage and advisory

Qualifications

• 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 FINRA rules governing broker-dealers, the Securities Exchange Act of 1934, Regulation Best Interest, the Investment Advisers Act of 1940, and related SEC regulations and guidance.
• Experience preparing, updating, and coordinating Form ADV and Form CRS filings, including amendment analysis, disclosure reviews, and client delivery requirements.
• Ability to lead significant compliance programs, regulatory workstreams, or cross-functional initiatives without formal people-management authority.
• Strong organizational, analytical, written, and oral communication skills; ability to exercise sound judgment and manage competing priorities.
• FINRA Series 7 and Series 24 registrations preferred.

Responsibilities

• Lead assigned elements of the risk-based compliance program for the broker-dealer and registered investment adviser.
• Coordinate resources across compliance activities to meet regulatory obligations effectively.
• Provide practical, solutions-oriented compliance guidance on brokerage and advisory activities, including conflicts of interest and disclosures.
• Serve as a compliance partner on new products, advisory programs, account types, compensation arrangements, and digital capabilities.
• Lead workstreams for SEC, FINRA, state, and other regulatory examinations, inquiries, and document requests.

Skills

Communication skills

Analytical skills

Organizational skills

Written communication

Oral communication

Education

Bachelor's degree or equivalent

Job description

Join a great place to work with MissionSquare, a financial services corporation with approximately $79 billion in assets under management and administration and over 600 employees. Founded in 1972, MissionSquare is dedicated to the retirement needs of public sector employees. We focus on delivering results-oriented retirement and retiree health savings plans, education, investment options, personalized guidance, and related services to public sector participants in more than 9,200 plans and nearly 2 million participant accounts. We strive to make the administration of retirement programs as easy and cost-effective as possible. We have an extraordinary talent base and invite you to consider joining MissionSquare.

$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

Equal Employment Opportunity

As a company, MissionSquare 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.

This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.