Compliance Officer

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🕒 Maio 19

🏛️ District of Columbia – Remoto

🏛️ District of Columbia – Remote

💵 $73.810 - $110.720 / ano

⏰ Tempo Integral

🟢 Júnior

🟡 Pleno

🚔 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

• Conduct compliance reviews of regulated entities to evaluate and test adherence to applicable rules, regulations, policies, and procedures; prepare written reports of findings. • Review and approve advertising, marketing communications, and client‑facing materials to ensure compliance with regulatory requirements and internal standards. • Support required Broker‑Dealer, Investment Adviser, and State regulatory filings by preparing, reviewing, and submitting documentation accurately and on time. • Develop and deliver Firm Element, Annual Compliance Meeting content, and other training materials for registered representatives and Investment Adviser Representatives. • Update and maintain compliance procedures, ensuring manuals, desktop procedures, and related documentation accurately reflect current laws, rules, and regulatory expectations. • Monitor regulatory developments, industry changes, and emerging risks; evaluate the impact on compliance policies, procedures, and controls and recommend enhancements as appropriate. • Assist in the identification, documentation, and tracking of issues and corrective actions; follow up with stakeholders to support timely remediation and closure. • Prepare summaries, reports, and updates for leadership, including compliance review results, testing outcomes, and risk insights. • Collaborate with Compliance teammates and business partners to ensure consistent application of compliance requirements and provide support as needed during workload peaks or absences. • Performs other duties as assigned

🎯 Requisitos

• Bachelor’s degree required (preferred fields: Business, Finance, Accounting, Economics, Public Policy, or related discipline) • 2+ years of experience in Broker‑Dealer, Investment Adviser, or mutual fund compliance, Financial services compliance, supervision, audit, or risk management • Direct work with federal and state securities regulations and SRO requirements • Strong understanding of compliance concepts, regulatory expectations, and operational controls. • Ability to produce clear, well‑structured documentation and follow defined procedures with consistency and accuracy. • Strong organizational and time‑management skills with the ability to prioritize multiple tasks. • Proficiency with Microsoft Office and comfort navigating systems, workflow tools, and data repositories. • Securities license: FINRA Series 7 and Series 24 Series 63/65/66 depending on product set • Strong working knowledge of securities laws, SRO rules, and compliance requirements • Ability to interpret and apply regulations, conduct reviews/testing, and produce clear documentation • Effective communication skills with strong attention to detail and sound decision‑making • Ability to collaborate across teams and interact professionally with internal and external stakeholders • Proficiency with compliance systems and organizational skills to manage multiple deadlines and adapt to new regulatory topics

🏖️ 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