Manager, Compliance

MissionSquare • DC - HQ, DC

21d • $95,700 - $148,340 • Hybrid

About The Position

Join a great place to work with MissionSquare, a financial services corporation with approximately $79 billion in assets under management and administration and over 600 employees. Founded in 1972, MissionSquare is dedicated to the retirement needs of public sector employees. We focus on delivering results-oriented retirement and retiree health savings plans, education, investment options, personalized guidance, and related services to public sector participants in more than 9,200 plans and nearly 2 million participant accounts. We strive to make the administration of retirement programs as easy and cost-effective as possible. We have an extraordinary talent base and invite you to consider joining MissionSquare.

Requirements

• 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 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.

Responsibilities

• 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.

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

What This Job Offers

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