Lead Compliance, Broker / Dealer

Mutual of America • Boca Raton, FL

9h • Hybrid

About The Position

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.

Requirements

• 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.

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

Benefits

• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Senior