Compliance Manager

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🕒 Maio 19

🏛️ District of Columbia – Remoto

🏛️ District of Columbia – Remote

💵 $95.700 - $148.340 / ano

⏰ Tempo Integral

🟡 Pleno

🟠 Sênior

🚔 Conformidade

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Icmarc

SiteLinkedInTodas as Vagas

- funcionários

💸 Finanças

🤝 B2B

Finance • B2B

A Icmarc é uma provedora de serviços de aposentadoria focada em empregadores do setor público e participantes individuais. Oferece administração e gestão de investimentos para planos de aposentadoria (457(b), 401(a), 401(k), 403(b), poupança para saúde na aposentadoria e IRAs), além de educação financeira para participantes, serviços de consultoria CFP®, suporte para patrocinadores de planos, acesso a consultores, pesquisa e defesa legislativa. A empresa se posiciona como parceira para patrocinadores de planos, consultores e participantes, fornecendo produtos de investimento, consultoria profissional e recursos educacionais.

Descrição

• Provide day‑to‑day oversight of assigned compliance activities and support the execution of the firm’s compliance program • Manage a team responsible for testing and monitoring, policy maintenance, marketing and communications reviews, issues management, regulatory requests, and overall operational support • 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

🎯 Requisitos

• 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 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

🏖️ Benefícios

• 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