Manager, Compliance

LE_ICMA-RC International City Management Association Retirement Corporation; Washington (District of Columbia); Hybrid; USD 95,700 - 148,340; Full time

Benefits offered by this job

401(k) plan with matching contributions

Flexible and hybrid work schedules

Tuition reimbursement

Professional development programs

Comprehensive wellness programs

Volunteerism initiatives

Job summary

LE_ICMA-RC International City Management Association Retirement Corporation seeks a Manager, Compliance to oversee compliance activities and support the firm's compliance program. Responsibilities include planning work across teams, ensuring service standards are met, and managing regulatory compliance reviews.

Candidates should have a Bachelor's Degree and a minimum of 5 years of experience in broker-dealer and investment adviser compliance. The position offers a competitive rewards package, flexible work schedules, and opportunities for professional development.

MissionSquare promotes a diverse work environment and encourages applicants from all backgrounds to apply.

Qualifications

• Minimum 5 years of broker-dealer and investment adviser compliance experience.
• Minimum 3 years leading compliance teams.
• Ability to work independently and manage multiple projects.

Responsibilities

• Plan and prioritize work to meet service standards and regulatory requirements.
• Oversee execution of compliance testing and monitoring programs.
• Review materials for regulatory compliance.

Skills

Broker-dealer compliance experience

Investment adviser compliance experience

Leadership skills

Strong knowledge of FINRA rules

Project management skills

Education

Bachelor's Degree

Tools

Securities licenses: S7, S24, S63, S65, or S66

Job description

MissionSquare is a financial services corporation dedicated to the retirement needs of public sector employees.

Salary: $95,700.00 - $148,340.00. Reporting to the Deputy Chief Compliance Officer, the Manager, Compliance provides day‑to‑day oversight of assigned compliance activities and supports the execution of the firm’s compliance program.

Essential Functions

• Plan and prioritize daily and weekly work across the team to ensure service standards, turnaround expectations, and regulatory requirements are met.
• Oversee execution of the compliance testing and monitoring program, including review of workpapers, evaluation of exceptions, and delivery of clear written reports.
• Maintain assigned policies and procedures, ensuring timely updates, version control, approvals, and firm‑wide communication.
• Review marketing, advertising, client communications, and related materials for regulatory compliance using established processes and criteria.
• Coordinate regulatory exams, inquiries, and document requests, including organization of evidence, drafting responses, and supporting meetings with regulators.
• Manage the issues lifecycle, from identification and documentation through remediation, validation, and closure.
• Provide coaching, feedback, and performance support to the Compliance Officer and Compliance Analyst to ensure consistent quality and development.
• Partner with business units to integrate compliance requirements into new processes, initiatives, and service models; support updates to documentation and training as needed.
• Prepare status updates, risk insights, and summary materials for senior leadership.
• Provide coverage for other Compliance Managers during peak periods or absences to maintain continuity of operations.
• Perform other duties as assigned.

Qualifications

• Bachelor’s Degree.
• Minimum 5 years of broker‑dealer and investment adviser compliance experience.
• Minimum 3 years leading broker‑dealer or investment adviser compliance teams.
• Strong knowledge of FINRA rules and the Investment Advisers Act of 1940 and the Securities Exchange Act of 1934.
• Ability to work independently and manage multiple projects simultaneously.
• Securities license: S7, S24, S63 and S65, or S66.

Benefits

• 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. MissionSquare is an Equal Opportunity Employer. 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.