Managing Vice President, Chief Compliance Officer

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.

$217,110.00 - $347,370.00

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.

Serving as a key advisor to senior management, the CCO promotes a strong culture of ethics and compliance, manages compliance staff, and ensures that business activities, disclosures, and supervisory systems effectively mitigate regulatory, operational, and reputational risk across both advisory and brokerage operations.

Essential Functions

The ideal candidate will possess deep knowledge of the broker-dealer and investment adviser regulatory landscape, exceptional leadership abilities, and a strong track record of fostering a culture of compliance and ethical business practices, including:


* Serving as a senior adviser to the Chef Legal Officer and the senior leadership team regarding the development of compliance strategy, policies, and governance frameworks.


* Overseeing and executing MissionSquare's compliance program, ensuring alignment with regulatory requirements and organizational risk management priorities.


* Leading the identification and resolution of compliance risks, including the development of mitigation strategies and corrective actions.


* Maintaining awareness of evolving regulatory landscapes and proactively recommend updates to internal policies and procedures.


* Mentoring and developing compliance staff, fostering a high-performance team aligned with MissionSquare's values and strategic goals.

Skills, Knowledge and Experience


* Bachelor's degree required; Series 7, 24, as well as 63 and 65, or 66, Qualification Examinations.


* Minimum 10 years in financial services compliance, with significant experience in retail broker-dealer and investment adviser services.


* Expert understanding of SEC, FINRA, and state regulations governing broker-dealers and investment advisers.


* Proven leadership skills with experience managing compliance teams and interacting with executive management and ...