Compliance Analyst (Broker Dealer)
Join a great place to work with MissionSquare Retirement, a FINANCIAL SERVICES LEADER in public sector employee retirement products and services.
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 skills, we encourage you to apply :
- Bachelor’s degree or equivalent experience.
- Series 7 and 24 FINRA licenses required.
- Minimum of 2 years of experience in compliance with a broker dealer or other financial services company.
- Detailed knowledge of Federal Securities Laws governing mutual funds and investment advisers
- 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
Compliance Analyst (Broker Dealer)
The Compliance Analyst is responsible for the compliance review and approval of marketing communications. Minimum of 2 years of experience in compliance with a broker dealer or other financial services company. Conduct compliance reviews for regulated entities as necessary to evaluate and test for c...
Compliance Analyst (Broker Dealer)
The Compliance Analyst is responsible for the compliance review and approval of marketing communications. Minimum of 2 years of experience in compliance with a broker dealer or other financial services company. Conduct compliance reviews for regulated entities as necessary to evaluate and test for c...
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