Corporate Compliance Officer

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Job description

Reach Your Peak with MissionSquare Retirement, a FINANCIAL SERVICES LEADER in public sector employee retirement products and services. Headquartered in Washington, DC, our Financial Services corporation administers over $50 billion in retirement plan assets for more than one million participant accounts. We are constantly looking for ways to create new opportunities to serve our participants. We have an extraordinary talent base and invite you to consider joining MissionSquare Retirement's Legal Compliance, & Risk Team.

The Corporate Compliance Officer is responsible for helping to ensure that MissionSquare Retirement's regulated entities operate in compliance with applicable securities laws, rules and regulations of self-regulatory agencies and internal policies and procedures. Responsibilities will include assisting in the development, maintenance, oversight and testing of the compliance policy and procedural framework.

Essential Functions for this role include:

* Conduct compliance reviews of regulated entities as necessary to evaluate and test for compliance with applicable rules and regulations, policies and procedures. Provide written reports of findings.
* Review and approve advertising and marketing communications for compliance with applicable regulatory requirements.
* Support various Broker Dealer, Investment Adviser, and State filings.
* Develop Firm Element, Annual Compliance Meeting, and ad hoc trainings for registered representatives and Investment Adviser Representatives.
* Update compliance procedures. Ensure compliance manuals and desktop procedures are aligned and accurately reflect current laws, rules, and other regulatory requirements.
* Keep abreast of changes and new developments in the financial services industry and the impacts these changes have on compliance policies and procedures.

If you have the following credentials, we encourage you to apply:

* 5-7+ years' of prior work experience in investment company, investment adviser, broker/dealer or other financial services organization. Knowledge and experience with Federal and State securities laws and rules and regulations of self-regulatory organizations.
* Knowledge of Federal Securities Laws, rules of self-regulatory agencies and internal policies and procedures governing mutual funds, investment advisers and broker/dealers is necessary.
* Results oriented with the ability to work independently and make sound decisions on the basis of available information.
* Capable of working effectively with all levels of staff and develop collaborative relationships.
* Excellent written and oral communications skills.
* Ability to interact effectively with external "clients" including regulatory authorities, vendors, and others.
* Above average computer skills set and ability to work with multiple applications.
* Solid research and interpretive skills

For your well-being, we offer a solid compensation and benefits package that features a competitive salary, a straight-forward incentive plan that rewards results, and a 401(k) Plan. For your career, we offer tuition reimbursement, professional development courses, seminars, career enrichment assignments, mentoring programs and a record of enterprise growth that creates continuing opportunities for career advancement. Consider MissionSquare Retirement and respond in strictest confidence. MissionSquare Retirement is an Equal Opportunity Employer that values diversity in the workplace. Minorities and women are encouraged to apply. We look forward to hearing from you.