Lead Compliance, Broker / Dealer

Job Description

Job Description

Mutual of America Financial Group
Job Title: Lead Compliance, Broker / Dealer
Location: Boca Raton, FL (hybrid) or New York, NY (hybrid)

Who We Are:

At Mutual of America Financial Group, we help people build the assets they need to achieve greater financial security. Our Company is built upon a solid foundation of integrity, excellence, and social responsibility. We were founded in 1945 to provide small and mid-sized nonprofit organizations with pension and retirement-related services, along with leading customer support. Today, we provide these services also to for-profit companies, as well as to governmental entities, Tribal enterprises, institutional investors, and individuals. We work diligently to understand the needs of our customers so we can help them achieve their retirement savings goals.

We are committed to bringing talented and motivated people together to help our customers achieve a financially secure future.

Role Summary:

Mutual of America's Compliance Department is seeking a Lead, Compliance with direct or related experience in broker/dealer compliance to assist the Vice President, Head of Broker/Dealer Compliance in managing the compliance program of the Company's broker/dealer subsidiary. In this role, you will contribute to the success of the compliance program and will have the opportunity to work closely with the management of the broker/dealer.

Responsibilities:

• Work with the Vice President, Head of Broker/Dealer Compliance on all aspects of the operations and personnel of the broker/dealer
• Assist the VP, Head of Broker/Dealer Compliance with managing engagements with the firms outside compliance vendors
• Manage and conduct branch office inspections, including implementation of remediation plans.
• Assist with drafting changes to written supervisory procedures and other broker-dealer compliance manuals
• Assist with the review of employee-related compliance requests, and escalate to department leadership, as necessary
• Continually evaluate systems used to meet the requirements of applicable rules and regulations and propose enhancements to increase efficiency and effectiveness
• Assist with drafting annual training materials and provide in-person or virtual live training to registered personnel on relevant topics
• Assist with regulatory inquiries and help prepare responses under tight deadlines
• Manage the process for issuing disciplinary actions in coordination with the Head of Broker/Dealer Compliance
• Perform reviews of registered representatives' electronic communications, maintain the electronic communications supervision system’s configuration, and perform efficacy reviews of the system’s supervision rules on a quarterly basis, suggesting improvements and refinements
• Actively promote compliance awareness among sales and service personnel

Required Qualifications:

• Bachelor’s degree
• Knowledge of FINRA and SEC rules applicable to broker/dealers
• FINRA Series 6 and Series 26 or the ability to obtain both within six months of hire
• 3-5 years of experience in broker/dealer compliance or a related role
• Meticulous attention to detail
• Highly motivated self-starter with a desire to work in a faced -aced environment
• Strong written and oral communication skills
• Strong interpersonal skills with the ability to collaborate with various business units at all levels
• Ability to organize and prioritize workflow and assignments
• Ability to exercise discretion and maintain the highest level of confidentiality
• Advanced proficiency in Microsoft Excel, Word, and PowerPoint.

What we offer you:

• Competitive base salary
• Annual Bonus
• Comprehensive Benefits Package (medical, dental, and vision) that starts day one of employment
• 401(k) Match: 100% Employer Match on up to 6% of employee contributions (Salary and Incentive Comp)
• Parental Leave: 8 weeks fully paid
• Paid time off: 20 days plus two floating personal holidays

The salary range below describes the minimum to maximum base salary range for this role. The role is also eligible for an annual bonus; whereby total compensation may exceed this range depending on individual and / or company performance.

Base Salary Range:

Boca Raton, FL: $97,900 - $146,800

New York, NY: $113,300 - $170,000

Visit for additional details about life at Mutual of America. You can also follow us on Twitter: @mutualofamerica | Facebook: @mutualofamerica

Mutual of America Financial Group provides equal employment opportunity to all qualified employees and applicants for employment regardless of race, color, creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, marital or partnership status, sexual orientation, gender identity or expression, disability, genetic predisposition, veteran or military status, or any other classification prohibited by applicable law.