Compliance Analyst - Broker Dealer

Join a great place to work! MissionSquare Retirement, a FINANCIAL SERVICES LEADER in public sector employee retirement products and services is seeking revenue and sales talent. 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 Legal 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:

• Maintain internal Compliance policies and procedures and document workflows.
• 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.
• Keep abreast of regulatory developments and the impact to sales and marketing communications.
• 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.
• Other duties as assigned.

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

• Knowledge of internal audit techniques.
• Detailed knowledge of Federal Securities Laws governing mutual funds and investment advisers
• Knowledge of rules of self-regulatory agencies governing broker/dealers.
• Ability to interact effectively with external “clients” including regulatory authorities, vendors, and others.
• Experience with investment company and investment adviser is preferred.
• Minimum of 2 years of experience in compliance with a broker dealer or other financial services company.
• Experience with Federal and State securities laws and rules and regulations of self-regulatory organizations required.
• Ability to participate in automation of certain compliance division activities.

To benefit your career and support your wellbeing, we offer:

• Professional and career development courses
• Competitive Total Rewards (compensation and benefits) package, including 401(k) Plan with matching contributions
• Mentoring programs
• Wellness programs
• Flexible/Hybrid work schedules
• Tuition reimbursement
• Varied incentive plans
• Volunteerism program

As a company, MissionSquare Retirement is an Equal Opportunity Employer. We strive to create an environment that reflects the value and diversity of our employees and fosters respect among them. We believe that talent from diverse backgrounds will further enhance our ability, and mission, to serve those who serve their communities.

Positions at this location require a COVID-19 vaccination. Offers of employment are conditioned upon the successful candidate providing proper proof of vaccination status prior to employment and pursuant to applicable law.