Compliance Analyst - Washington, United States - ICMA-RC

ICMA-RC Washington, United States

6 days ago

Description

Join a great place to work with MissionSquare Retirement, a FINANCIAL SERVICES LEADER in public sector employee retirement products and services. 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 Corporate Affairs 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:

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

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

Bachelor's degree or equivalent experience.
Series 7 FINRA license required.
Series 24 FINRA license preferred.
Minimum of 2 years of experience in compliance with a broker dealer or other financial services company.
Detailed knowledge of Federal Securities Laws governing mutual funds and investment advisers
Ability to interact effectively with external "clients" including regulatory authorities, vendors, and others.
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 develop collaborative relationships.
Strong written and verbal communications skills.
Strong computer skills set and ability to work with multiple applications.
Knowledge of rules of self-regulatory agencies governing broker/dealers.
Ability to participate in automation of certain compliance division activities.

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
Flexible/Hybrid work schedules
Wellness programs
Tuition reimbursement
Professional and career development courses
Mentoring programs
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.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, or any other protected classifications under any applicable law.

Compliance Analyst

1 week ago

ICMA Retirement Corporation Washington, United States

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. Keep abreast of regulatory develo Compliance Analyst, Broker, C ...
Compliance Analyst

2 weeks ago

MissionSquare Retirement Washington, United States

Join a great place to work with MissionSquare Retirement, a FINANCIAL SERVICES LEADER in public sector employee retirement products and services. Headquartered in Washington, DC, MissionSquare Retirement was founded to provide portable retirement benefits for city and county mana ...
Compliance Analyst

6 days ago

Objective Area Solutions Washington, United States

Company Overview : · OAS is a rapidly expanding management consulting company with a focus on the aviation industry. Our mission is to use our aviation and organizational expertise to help our clients in technical programs to be more effective, connected, and resilient to improv ...
Compliance Analyst

6 days ago

The Rock Creek Group Washington, United States

Compliance Analyst - Investment Management · Full-time · RockCreek is a leading global investment management firm that applies data-driven technology and innovation to sustainable investing. RockCreek's entrepreneurial spirit, open culture, and inclusive team lead to better inve ...
Compliance Analyst

2 weeks ago

MissionSquare Retirement Washington, United States

Join a great place to work with MissionSquare Retirement, a FINANCIAL SERVICES LEADER in public sector employee retirement products and services. Headquartered in Washington, DC, MissionSquare Retirement was founded to provide portable retirement benefits for city and county mana ...
Compliance Analyst IV

6 days ago

Cherokee Nation Businesses Washington, United States

Job Description · Compliance Analyst IV · *Must have an active Top-Secret Clearance · Compliance Analyst IV plans and carries out the assignment, resolves most of the conflicts, coordinates work with others and interprets policy on own initiative. The contractor keeps the gover ...
Biosafety Compliance Analyst

6 days ago

BAI Inc. Washington, United States

BAI is seeking a · Biosafety Compliance Analyst · to support a U.S. government agency's cutting-edge science and technology research and development program. · Our Analysts assist Federal Program Managers and researchers in complying with applicable biosafety and biosecurity re ...
Tax Compliance Analyst

6 days ago

Open Systems Technologies Washington, United States

A law firm is looking for a Tax Compliance Analyst · to join their team in Washington, D.C. · Compensation: $85-100k · This position is responsible for assisting the Tax Manager with various indirect tax filing and reporting obligations of the Firm. The majority of responsibil ...
Biosafety Compliance Analyst

6 days ago

BAI Incorporated Washington, United States

BAI is seeking a Biosafety Compliance Analyst to support a U.S. government agency's cutting-edge science and technology research and development program. · Our Analysts assist Federal Program Managers and researchers in complying with applicable biosafety and biosecurity regulato ...
Sr. Compliance Analyst

6 days ago

National Resident Matching Program Washington, United States

Job Description · Job Description Salary: $81,500 - $103,200 per year · POSITION SUMMARY · The NRMP Policy and Compliance team promotes and enforces the policies and procedures that protect the integrity of the Matching Program. The Senior Compliance Analyst provides support to ...
Governance/ Compliance Analyst

4 days ago

Mindlance Washington, United States

Title: Governance/ Compliance Analyst · Duration: 12 months · Location: Washington, DC// Plano, Texas (Hybrid ) · Video Interview · As a valued colleague on our team, you will contribute to setting organizational policies and guidelines, and work with your team on overseeing the ...
Governance Compliance Analyst

4 days ago

Dexian Washington, United States

Job Title: Governance and Compliance Analyst · Location: Washington DC · Pay Range:$35-$40/hr · Anticipated Work · • All HRSC-owned knowledge articles, job aids, guidelines, etc. will need to be comprehensively reviewed to determine the population that will need to be created, mo ...
Governance/ Compliance Analyst

2 days ago

Mindlance Washington, United States

Title: Governance/ Compliance Analyst · Duration: 12 months · Location: Washington, DC// Plano, Texas (Hybrid ) · Video Interview · As a valued colleague on our team, you will contribute to setting organizational policies and guidelines, and work with your team on overseeing ...
Compliance Analyst IV

6 days ago

Delaware Nation Industries Washington, United States

Overview: · The United States Department of State, Bureau of Political-Military Affairs, Office of the Directorate of Defense Trade Controls (PM-DDTC) is responsible for the regulation of defense trade through the Arms Export Control Act (AECA) and its implementing regulations, ...
Compliance and Oversight Analyst

1 week ago

Federal Communications Commission Washington, United States

Summary This position is located in the Compliance and Oversight Group (COG), Financial Operations (FO), Office of the Managing Director (OMD), Federal Communications Commission (FCC) located in Washington, DC. Relocation expenses will not be paid. THIS VACANCY ANNOUNCEMENT MAY B ...
Operations / Business Analyst - Compliance

1 day ago

AZAD Technology Partners Washington, United States

Join AZAD Technology Partners as an Operations / Business Analyst and provide analytical support to the Strategic Asset Strategy function within operational engineering of a high security 24/7 energy utility organization. The position formulates and applies various modeling techn ...
Senior IT GRC Compliance Analyst

1 week ago

Integrated DNA Technologies Washington, United States

Integrated DNA Technologies (IDT) is the leading manufacturer of custom oligonucleotides and proprietary technologies for genomics applications. Our work is complex and cutting-edge, and our team members are curious, creative thinkers who understand that good data drives smart de ...
Senior Analyst, CLO Compliance Operations

6 days ago

Avature Washington, United States

Senior Analyst, CLO Compliance Operations · Location: · Washington, DC · Line of Business: · Finance · Job Function: · Investor Services · Date: · Wednesday, January 31, 2024 · Position Summary · Carlyle Global Credit's Operations team focuses on all Operational activities acros ...
Senior International Trade Compliance Analyst

6 days ago

General Dynamics Washington, United States

Responsibilities for this Position · Location: USA DC Washington - 300 E St, SW (DCC195) · Full Part/Time: Full time · Job Req: RQ171089 · Type of Requisition: · Regular · Clearance Level Must Currently Possess: · None · Clearance Level Must Be Able to Obtain: · Secre ...
Senior International Trade Compliance Analyst

6 days ago

General Dynamics Information Technology Washington, United States

At GDIT, our people are our business. We pride ourselves on the work our innovators do to support and secure some of the most complex government, defense, and intelligence projects across the world.. · GDIT is seeking a Senior International Trade Compliance Analyst to oversee ou ...