Compliance Manager

Job not on LinkedIn

🔥 1 hour ago

🏛️ District of Columbia – Remote

🏛️ District of Columbia – Remote

💵 $95.7k - $148.3k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

👻 Ghost score 18%

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Icmarc

WebsiteLinkedInAll Job Openings

- employees

💼 Consulting

🏥 Healthcare

🛡️ Insurance

Consulting • Healthcare • Insurance

Icmarc is a retirement services provider focused on public‑sector employers and individual participants. It offers administration and investment management for retirement plans (457(b), 401(a), 401(k), 403(b), retirement health savings and IRAs), along with participant financial education, CFP® advisory services, plan‑sponsor support, consultant access, research, and legislative advocacy. The company positions itself as a partner for plan sponsors, consultants, and participants, providing investment products, professional advice, and educational resources.

📋 Description

• Provide day-to-day leadership for key elements of MissionSquare’s broker-dealer and investment adviser compliance program • Serve as a senior compliance resource to the business • Lead and sustain assigned elements of the risk-based compliance program supporting MissionSquare’s introducing broker-dealer and registered investment adviser • Establish priorities and coordinate resources across assigned broker-dealer and investment adviser compliance activities • Provide practical, solutions-oriented compliance guidance on brokerage and advisory activities, including conflicts of interest, fiduciary obligations, Regulation Best Interest, disclosures, sales practices, and supervisory requirements • Serve as a compliance partner on new products, advisory programs, account types, compensation arrangements, digital capabilities, operational changes, and other strategic initiatives • Lead assigned workstreams for SEC, FINRA, state, and other regulatory examinations, inquiries, and document requests, including evidence collection, response drafting, quality control, status reporting, and meeting support • Perform other duties as assigned

🎯 Requirements

• Bachelor’s degree or an equivalent combination of education and relevant professional experience • At least five years of progressive compliance experience supporting a broker-dealer, registered investment adviser, or dual-registrant • Strong working knowledge of applicable FINRA rules governing introducing broker-dealers, the Securities Exchange Act of 1934, Regulation Best Interest, the Investment Advisers Act of 1940, and related SEC regulations and guidance • Demonstrated experience preparing, updating, and coordinating Form ADV and Form CRS filings, including amendment analysis, disclosure reviews, and applicable client delivery requirements • Demonstrated ability to lead significant compliance programs, regulatory workstreams, or cross-functional initiatives without relying on formal people-management authority • Strong organizational, analytical, written, and oral communication skills, with the ability to exercise sound judgment, manage competing priorities, and independently handle sensitive matters • FINRA Series 7 and Series 24 registrations preferred

🏖️ Benefits

• 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

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