Compliance Officer

Emploi pas sur LinkedIn

🕒 il y a 1 mois

🏛️ District of Columbia – Distant

🏛️ District of Columbia – Remote

💵 $73 810 - $110 720 / an

⏰ Temps Plein

🟢 Junior

🟡 Intermédiaire

🚔 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

• 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

🎯 Exigences

• 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

🏖️ 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