Job Description:
• 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.
• 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.
Requirements:
• 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.
Benefits:
• 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
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