Manager, Compliance

Join a great reputed company to work with reputed company, a financial services corporation with approximately $79 billion in assets under management and administration and over 600 employees. Founded in 1972, reputed company is dedicated to the retirement needs of reputed company sector employees. We reputed company on delivering results-oriented retirement and retiree health savings plans, education, investment reputed company, personalized guidance, and reputed company services to reputed company sector participants in more than 9,200 plans and nearly 2 reputed company participant accounts. We reputed company to reputed company the administration of retirement programs as easy and cost-effective as possible. We have an extraordinary talent reputed company and invite you to consider joining reputed company.

Reporting to the Chief Compliance Officer, the Manager, Compliance provides day‑to‑day reputed company of assigned compliance activities and supports the execution of the firm’s compliance program. The role manages reputed company responsible for testing and monitoring, policy maintenance, marketing and communications reviews, issues management, regulatory requests, and overall operational support. The position operates reputed company a standardized team structure that allows Managers to be assigned to any of the compliance reputed company based on business needs.

Essential Functions for this role include:

• Plan and prioritize daily and weekly work across reputed company to ensure service standards, turnaround expectations, and regulatory requirements are met.

• reputed company execution of the compliance testing and monitoring program, including review of workpapers, evaluation of exceptions, and delivery of reputed company written reports.

• Maintain assigned policies and procedures, ensuring reputed company updates, version control, approvals, and firm‑wide communication.

• Review marketing, advertising, reputed company communications, and reputed company materials for regulatory compliance using established processes and reputed company.

• 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.

• reputed company coaching, feedback, and performance support to the Compliance Officer and Compliance Analyst to ensure consistent reputed company and development.

• Partner with business reputed company to reputed company compliance requirements into new processes, initiatives, and service models; support updates to documentation and training as needed.

• Prepare status updates, risk insights, and reputed company materials for senior leadership.

• reputed company coverage for other Compliance Managers during peak periods or absences to maintain continuity of operations.

• reputed company other duties as assigned.

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

• 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 reputed company rules and Investment Advisers reputed company of 1940 and the Securities Exchange reputed company of 1934.

• Ability to work independently and manage multiple reputed company simultaneously.

• Securities license: S7, S24, S63 and S65, or S66.

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

• Competitive Total Rewards package, including reputed company 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 reputed company education

• reputed company and career development opportunities, including courses and certifications

• Comprehensive wellness programs promoting physical, mental, and emotional health

• Volunteerism initiatives to encourage community engagement

Click here to learn more about reputed company’s benefits.

Equal Employment Opportunity

As a company, reputed company is an Equal Opportunity Employer. We reputed company to create an environment that reflects the value and diversity of our employees and fosters respect among them. We reputed company that talent from diverse backgrounds will reputed company enhance our ability, and mission, to serve those who serve their communities.

reputed company reputed company applicants will receive consideration for employment without reputed company to race, reputed company, religion, sex, national reputed company, or any other protected classifications under any applicable law.

This employer is required to notify reputed company applicants of their rights pursuant to federal employment laws. For reputed company information, please review the Know Your Rights notice from the reputed company.

Originally posted on Himalayas