Compliance Analyst (Broker Dealer)
Join a great place to work! MissionSquare Retirement, a FINANCIAL SERVICES LEADER in public sector employee retirement products and services is hiring.
Headquartered in Washington, DC, MissionSquare Retirement was founded to provide portable retirement benefits for city and county managers, enabling accumulated retirement assets to be transferred between employers.
Today, MissionSquare Retirement serves more than 1.
5 million participant accounts, and more than 9,000 retirement plans across the country.
We have an extraordinary talent base and invite you to consider joining MissionSquare Retirement's Corporate Affairs Team.
The Compliance Analyst is responsible for the compliance review and approval of marketing communications.
This individual will ensure that communications satisfy regulatory requirements, lead department projects, and provide compliance guidance to business partners relating to advertising rules and regulations.
Essential Functions for this role include:
Review and approve firm communications to ensure compliance with applicable regulatory requirements.
Provide guidance in the development of marketing materials for new products, marketing campaigns, and social media.
Keep abreast of regulatory developments and the impact to sales and marketing communications.
Conduct compliance reviews for regulated entities as necessary to evaluate and test for compliance with applicable rules and regulations, policies, and procedures.
Provide written reports of findings.
Maintain internal Compliance policies and procedures and document workflows.
Other duties as assigned.
If you have the following credentials, we encourage you to apply:
Bachelor's Degree or 2 years of experience in compliance with a broker dealer or other financial services company.
Experience with Federal and State securities laws and rules and regulations of self-regulatory organizations required.
Experience with investment company and investment adviser is preferred.
Detailed knowledge of Federal Securities Laws governing mutual funds and investment advisers Knowledge of internal audit techniques.
Ability to interact effectively with external clients including regulatory authorities, vendors, and others.
Results oriented with the ability to work independently and make sound decisions based on available information.
Capable of working effectively with all levels of staff and develop collaborative relationships.
Strong written and verbal communications skills.
Strong computer skills set and ability to work with multiple applications.
Knowledge of rules of self-regulatory agencies governing broker/dealers.
Ability to participate in automation of certain compliance division activities.
To benefit your career and support your wellbeing, we offer:
Competitive Total Rewards (compensation and benefits) package, including 401(k) Plan with matching contributions Varied incentive plans Flexible/Hybrid work schedules Wellness programs Tuition reimbursement Professional and career development courses Mentoring programs Volunteerism program As a company, MissionSquare Retirement is an Equal Opportunity Employer.
We strive to create an environment that reflects the value and diversity of our employees and fosters respect among them.
We believe that talent from diverse backgrounds will further enhance our ability, and mission, to serve those who serve their communities.
Positions at this location require a COVID-19 vaccination.
Offers of employment are conditioned upon the successful candidate providing proper proof of vaccination status prior to employment and pursuant to applicable law.
Recommended Skills Auditing Automation Communication Finance Marketing Communications Regulatory Requirements Estimated Salary: $20 to $28 per hour based on qualifications.
Headquartered in Washington, DC, MissionSquare Retirement was founded to provide portable retirement benefits for city and county managers, enabling accumulated retirement assets to be transferred between employers.
Today, MissionSquare Retirement serves more than 1.
5 million participant accounts, and more than 9,000 retirement plans across the country.
We have an extraordinary talent base and invite you to consider joining MissionSquare Retirement's Corporate Affairs Team.
The Compliance Analyst is responsible for the compliance review and approval of marketing communications.
This individual will ensure that communications satisfy regulatory requirements, lead department projects, and provide compliance guidance to business partners relating to advertising rules and regulations.
Essential Functions for this role include:
Review and approve firm communications to ensure compliance with applicable regulatory requirements.
Provide guidance in the development of marketing materials for new products, marketing campaigns, and social media.
Keep abreast of regulatory developments and the impact to sales and marketing communications.
Conduct compliance reviews for regulated entities as necessary to evaluate and test for compliance with applicable rules and regulations, policies, and procedures.
Provide written reports of findings.
Maintain internal Compliance policies and procedures and document workflows.
Other duties as assigned.
If you have the following credentials, we encourage you to apply:
Bachelor's Degree or 2 years of experience in compliance with a broker dealer or other financial services company.
Experience with Federal and State securities laws and rules and regulations of self-regulatory organizations required.
Experience with investment company and investment adviser is preferred.
Detailed knowledge of Federal Securities Laws governing mutual funds and investment advisers Knowledge of internal audit techniques.
Ability to interact effectively with external clients including regulatory authorities, vendors, and others.
Results oriented with the ability to work independently and make sound decisions based on available information.
Capable of working effectively with all levels of staff and develop collaborative relationships.
Strong written and verbal communications skills.
Strong computer skills set and ability to work with multiple applications.
Knowledge of rules of self-regulatory agencies governing broker/dealers.
Ability to participate in automation of certain compliance division activities.
To benefit your career and support your wellbeing, we offer:
Competitive Total Rewards (compensation and benefits) package, including 401(k) Plan with matching contributions Varied incentive plans Flexible/Hybrid work schedules Wellness programs Tuition reimbursement Professional and career development courses Mentoring programs Volunteerism program As a company, MissionSquare Retirement is an Equal Opportunity Employer.
We strive to create an environment that reflects the value and diversity of our employees and fosters respect among them.
We believe that talent from diverse backgrounds will further enhance our ability, and mission, to serve those who serve their communities.
Positions at this location require a COVID-19 vaccination.
Offers of employment are conditioned upon the successful candidate providing proper proof of vaccination status prior to employment and pursuant to applicable law.
Recommended Skills Auditing Automation Communication Finance Marketing Communications Regulatory Requirements Estimated Salary: $20 to $28 per hour based on qualifications.
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