Compliance Manager

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🕒 vor 21 Tagen

🏛️ District of Columbia – Remote

🏛️ District of Columbia – Remote

💵 $95.700 - $148.340 / Jahr

⏰ Vollzeit

🟡 Mittelstufe

🟠 Senior

🚔 Compliance

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Icmarc

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- Mitarbeiter

💸 Finanzen

🤝 B2B

Finance • B2B

Icmarc ist ein Anbieter von Altersvorsorgedienstleistungen, der sich auf Arbeitgeber im öffentlichen Sektor und individuelle Teilnehmer konzentriert. Das Unternehmen bietet Verwaltung und Investment Management für Altersvorsorgepläne (457(b), 401(a), 401(k), 403(b), Altersversorgungsgesundheitssparen und IRAs) sowie Finanzbildung für Teilnehmer, CFP®-Beratungsdienste, Unterstützung für Plan-Sponsoren, Zugang zu Beratern, Forschung und gesetzgeberisches Engagement an. Das Unternehmen positioniert sich als Partner für Plan-Sponsoren, Berater und Teilnehmer und bietet Anlageprodukte, professionelle Beratung und Bildungsressourcen.

Beschreibung

• 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

🎯 Anforderungen

• 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

🏖️ Vorteile

• 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