Manager, Compliance

Icmarc

Manager, Compliance overseeing compliance activities and managing a team at MissionSquare. Ensuring adherence to regulatory requirements and providing support for compliance program execution.

Posted 7/25/2026full-timeRemote • District of Columbia • 🇺🇸 United StatesMid-LevelSenior💰 $95,700 - $148,340 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive experience in compliance management, including oversight of compliance programs, regulatory requirements, and team leadership within the broker-dealer and investment adviser sectors. Proficient in managing compliance testing, policy maintenance, and regulatory communications while ensuring adherence to FINRA rules and relevant securities regulations.

Highest-signal resume keywords

Broker-Dealer Compliance ExperienceInvestment Adviser Compliance ExperienceFINRA Rules KnowledgeTeam Leadership in ComplianceSecurities License (S7, S24, S63, S65, S66)

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance Program OversightCompliance Testing and MonitoringPolicy MaintenanceRegulatory Requests ManagementIssues ManagementPerformance SupportRisk Insights PreparationDocument OrganizationWritten ReportingRegulatory Exam Coordination

Soft Skills

Independent WorkProject ManagementCoaching and FeedbackCommunication SkillsTeam Collaboration

Certifications & Qualifications

Bachelor’s DegreeSecurities License (S7, S24, S63, S65, S66)

Industry Keywords

Investment Advisers Act of 1940Securities Exchange Act of 1934Regulatory ComplianceOperational SupportMarketing Compliance

About the role

Key responsibilities & impact

Provide day‑to‑day oversight of assigned compliance activities and support the execution of the firm’s compliance program
Manage a team responsible for testing and monitoring, policy maintenance, marketing and communications reviews, issues management, regulatory requests, and overall operational support
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

Requirements

What you’ll need

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

Benefits

Comp & perks

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