Compliance Manager

Emploi pas sur LinkedIn

🕒 il y a 1 mois

🏛️ District of Columbia – Distant

🏛️ District of Columbia – Remote

💵 $95 700 - $148 340 / an

⏰ Temps Plein

🟡 Intermédiaire

🟠 Senior

🚔 Conformité

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Icmarc

Site WebLinkedInTous les Emplois

- employés

💸 Finance

🤝 B2B

Finance • B2B

Icmarc est un prestataire de services de retraite destiné aux employeurs du secteur public et aux participants individuels. Il propose des services d'administration et de gestion d'investissements pour les régimes de retraite (457(b), 401(a), 401(k), 403(b), épargne santé retraite et IRA), ainsi qu'une éducation financière pour les participants, des services de conseil CFP®, un soutien aux sponsors de plans, un accès aux consultants, des recherches et un plaidoyer législatif. L'entreprise se positionne comme un partenaire pour les sponsors de plans, les consultants et les participants, offrant des produits d'investissement, des conseils professionnels et des ressources éducatives.

Description

• 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

🎯 Exigences

• 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

🏖️ Avantages

• 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