Compliance Analyst

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's Corporate Affairs team. 

The Compliance Analyst is responsible for helping to ensure that MissionSquare and affiliated entities operate in compliance with applicable laws, rules, regulations, and internal policies and procedures of MissionSquare and will assist with the development, maintenance, oversight, and testing of the compliance program.

The Compliance Analyst will also be responsible for communications review to ensure they satisfy regulatory requirements and provide compliance guidance to business partners regarding advertising rules and regulations.

Essential Functions for this role include:


* Conduct compliance reviews for regulated entities to evaluate and test compliance with applicable rules, regulations, policies, and procedures.

Provide written reports of findings.


* Assist with developing and maintaining internal compliance functions, including reviewing and approving firm communications.


* Assist with ongoing regulatory filings.


* Keep abreast of regulatory developments and their impact on the business of MissionSquare Retirement and affiliated entities, as well as sales and communications.


* Other duties as assigned.

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


* BA/BS or equivalent experience.


* A minimum of 2 years of experience in compliance and related roles with an investment adviser, broker-dealer, or other financial services company is preferred.


* Series 7 and 24 FINRA licenses required.


* Knowledge of Federal Securities Laws governing securities, broker-dealers, and investment advisers


* Results-oriented with the ability to work independently and make sound decisions based on available information.


* Capable of working effectively with all levels of staff and developing collaborative relationships.


* Strong written and verbal communication skills.


* Strong computer skill set and ability to work with multiple applications.


* Knowledge of rules of self-regulatory agencies governing broker/dealers.

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


* Competitive Total Rewards (compensation and benefits) package, including 401(k) Plan with matching contributions


* Varied incentive plans


* Flexib...