Managing Vice President, Chief Compliance Officer

MissionSquare Retirement

Remote
Base: $217,110.00 - $347,370.00; bonus/equity: not...
**
Broker-dealer and investment adviser regulatory landscape
Compliance strategy, policies, and governance
Regulatory risk assessment and mitigation
** MissionSquare Retirement is seeking a Managing Vice President, Chief Compliance Officer to lead their compliance strategies and ensure adherence to regulatory requirements, particularly in relation to broker-dealer and investment adviser services. The ideal candidate should possess extensive experience in financial services compliance and demonstrate strong leadership abilities. **

Job Summary

  • The Chief Compliance Officer (CCO) is responsible for ensuring that MissionSquare and its regulated affiliates operate within applicable laws and regulations.
  • The CCO provides strategic leadership on regulatory matters, supervises regulatory risk assessments, testing, and surveillance, and oversees regulatory filings, examinations, and interactions with regulators.
  • To benefit your career and support your wellbeing, we offer a Competitive Total Rewards package, flexible and hybrid work schedules, tuition reimbursement, and professional development opportunities.

Matching Summary

Match Score: 75

** MissionSquare Retirement is seeking a Managing Vice President, Chief Compliance Officer to lead their compliance strategies and ensure adherence to regulatory requirements, particularly in relation to broker-dealer and investment adviser services. The ideal candidate should possess extensive experience in financial services compliance and demonstrate strong leadership abilities. **

Salary

Base: $217,110.00 - $347,370.00; Bonus/Equity: Not specified; Benefits: Not specified

Skills & Requirements

Must-have

  • Broker-dealer and investment adviser regulatory landscape
  • Compliance strategy, policies, and governance
  • Regulatory risk assessment and mitigation
  • Awareness of evolving regulatory landscapes
  • Leadership and team development

Nice-to-have

  • Fostering a culture of compliance
  • Promoting ethical business practices
  • Strategic leadership on regulatory matters

Key Requirements

  • Bachelor's degree required
  • Series 7, 24, 63 and 65, or 66 Qualification Examinations
  • Minimum 10 years in financial services compliance
  • Significant experience in retail broker-dealer and investment adviser services
  • Expert understanding of SEC, FINRA, and state regulations
  • Proven leadership skills managing compliance teams
  • Preferred 10+ years working with a Broker/Dealer

Work Rights

Not specified

Tailored Resume

Cover Letter