Manager, Compliance

Job not on LinkedIn

🔥 3 hours ago

🏛️ District of Columbia – Remote

🏛️ District of Columbia – Remote

💵 $95.7k - $148.3k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

Apply Now

Find Similar Remote Jobs

Set Up Email Alert For New Jobs

📊 Check your resume score for this job

Improve your chances of getting an interview by checking your resume score before you apply.

Upload Resume

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 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

🎯 Requirements

• 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

🏖️ 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