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 regulators.
Expert ability to influence senior stakeholders and cross-functional partners, as well as to drive compliance initiatives across an organization with clarity and purpose.
Excellent written and verbal communication skills.
Preferred 10 years working with a Broker/Dealer.
To benefit your career and support your wellbeing, we offer:
Competitive Total Rewards package, including base 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 continued education
Professional 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 MissionSquare’s benefits.
Equal Employment Opportunity
As a company, MissionSquare 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.
This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.
