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About the role
Key responsibilities & impact- Manage registration and onboarding of associated persons
- Manage compliance systems and compliance reviews of gifts and entertainment, outside business activities, private securities transactions, and other regulatory reviews
- Manage periodic and day-to-day compliance testing and monitoring activities
- Engage with the business through training, real-time guidance, projects, and larger initiatives
- Assist with developing policies and procedures to meet regulatory requirements
- Draft, recommend, and amend compliance procedures
- Monitor investment activities for compliance with investment guidelines and applicable policies and procedures
- Monitor sales activities for compliance with broker-dealer guidelines and applicable policies and procedures
- Support internal and external audits and exams
- Manage regulatory filings for MMA Retirement & Wealth
- Review marketing and sales materials for compliance with MMA Retirement & Wealth standards and regulatory requirements
- Stay abreast of regulatory and legal developments and best practices governing investment advisers and broker-dealers
- Make recommendations based on compliance reviews, escalate issues, and support responses to regulators, boards, and other supervisory entities
Requirements
What you’ll need- Bachelor’s degree in business, Finance, Accounting, Law, or a related field
- Three to five years of relevant compliance experience with an SEC-registered investment adviser or an SEC/FINRA-registered broker-dealer
- Working knowledge of the Investment Advisers Act of 1940
- Working knowledge of the Securities Exchange Act of 1934
- Working knowledge of the Securities Act of 1933
- Working knowledge of FINRA regulations
- Working knowledge of ERISA regulations
- Ability to obtain a Series 6 or Series 7 license within the first year of employment
- Collaborative, proactive approach with strong written and verbal communication skills
- Ability to build relationships, influence stakeholders, and achieve business objectives
- Strong organizational skills and ability to handle multiple priorities in a fast-paced environment
- Self-motivated with a commitment to continuous learning
Benefits
Comp & perks- Competitive pay and outstanding benefits
- Paid time off to give back through non-profit community service
- Employee Resource Groups with access to leaders, volunteer and mentoring opportunities, and industry/client interactions
- Professional development opportunities
- Health and welfare benefits
- Tuition assistance
- 401K savings and other retirement programs
- Employee assistance programs
- Hybrid work flexibility
- Flexible work environment
- Performance-based incentives may be available