Lead Compliance, Broker ​/ Dealer

Lead Compliance, Broker / Dealer

Mutual of America Financial Group is seeking a Lead, Compliance with direct or related experience in broker/dealer compliance to assist the Vice President, Head of Broker/Dealer Compliance in managing the compliance program of the Company's broker/dealer subsidiary. In this role, you will contribute to the success of the compliance program and will have the opportunity to work closely with the management of the broker/dealer.

Responsibilities include:

• Working with the Vice President, Head of Broker/Dealer Compliance on all aspects of the operations and personnel of the broker/dealer
• Assisting the VP, Head of Broker/Dealer Compliance with managing engagements with the firms outside compliance vendors
• Managing and conducting branch office inspections, including implementation of remediation plans
• Assisting with drafting changes to written supervisory procedures and other broker-dealer compliance manuals
• Assisting with the review of employee-related compliance requests, and escalating to department leadership, as necessary
• Continually evaluating systems used to meet the requirements of applicable rules and regulations and proposing enhancements to increase efficiency and effectiveness
• Assisting with drafting annual training materials and providing in-person or virtual live training to registered personnel on relevant topics
• Assisting with regulatory inquiries and helping prepare responses under tight deadlines
• Managing the process for issuing disciplinary actions in coordination with the Head of Broker/Dealer Compliance
• Performing reviews of registered representatives' electronic communications, maintaining the electronic communications supervision system's configuration, and performing efficacy reviews of the system's supervision rules on a quarterly basis, suggesting improvements and refinements
• Actively promoting compliance awareness among sales and service personnel

Required qualifications include:

• Bachelor's degree
• Knowledge of FINRA and SEC rules applicable to broker/dealers
• FINRA Series 6 and Series 26 or the ability to obtain both within six months of hire
• 3-5 years of experience in broker/dealer compliance or a related role
• Meticulous attention to detail
• Strong written and oral communication skills
• Strong interpersonal skills with the ability to collaborate with various business units at all levels
• Ability to organize and prioritize workflow and assignments
• Ability to exercise discretion and maintain the highest level of confidentiality
• Advanced proficiency in Microsoft Excel, Word, and Power Point

What we offer you:

• Competitive base salary
• Annual Bonus
• Comprehensive Benefits Package (medical, dental, and vision) that starts day one of employment
• 401(k) Match: 100% Employer Match on up to 6% of employee contributions (Salary and Incentive Comp)
• Parental Leave: 8 weeks fully paid
• Paid time off: 20 days plus two floating personal holidays

The salary range below describes the minimum to maximum base salary range for this role. The role is also eligible for an annual bonus; whereby total compensation may exceed this range depending on individual and / or company performance.

Base Salary Range:

• Boca Raton, FL: $97,900 - $146,800
• New York, NY: $113,300 - $170,000

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