Manager, Compliance

MissionSquare is a financial services corporation dedicated to the retirement needs of public sector employees. Salary: $95,700.00 - $148,340.00. Reporting to the Deputy Chief Compliance Officer, the Manager, Compliance provides day‑to‑day oversight of assigned compliance activities and supports the execution of the firm’s compliance program. Essential Functions 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. Qualifications 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 the 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. Equal Employment Opportunity. MissionSquare is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, or any other protected classifications under any applicable law. This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor. #J-18808-Ljbffr