Mutual of America Financial Group

Job Title: Senior Manager, Compliance

Location: New York, NY (Hybrid)

Who We Are:

At Mutual of America Financial Group, we help people build the assets they need to achieve greater financial security. Our Company is built upon a solid foundation of integrity, excellence, and social responsibility. Since 1945, we have specialized in providing small and mid-sized not-for-profit organizations and companies with pension and retirement-related services, along with leading customer support. We work diligently to understand the needs of plan sponsors. We provide them with competitively priced solutions so they can help their employees achieve their financial savings goals.

We are committed to bringing talented and motivated people together to help our customers achieve a financially secure future.

Role Summary:

The FINRA/SEC Compliance department is responsible for ensuring that Mutual of America Securities and its personnel comply with regulatory requirements. The Compliance department is committed to setting the highest standard of compliance for its employees and clients. The Senior Manager will assist the Director of Compliance with driving and running the day-to-day operations of the Compliance program. This role will focus solely on meeting compliance deadlines and completing various assignments that can be broad in scope.

Responsibilities:

• Work with Director of Compliance on all aspects of operations and personnel of the broker-dealer
• Assist Director of Compliance with managing engagements with our outside compliance vendors
• Oversee audit process for the annual supervisory controls testing with the Director of Compliance to ensure that auditors meet Mutual of America standards and deadlines
• Monitor branch office inspections being performed by Compliance and Internal Audit and assist Director of Compliance with remediation plans in writing.
• Assist with drafting changes to written supervisory procedures and other broker-dealer compliance manuals
• Assist with the initial review of employee-related compliance requests and escalate to Director as necessary
• Continually evaluate systems used to meet requirements of compliance with applicable rules and regulations
• Assist with drafting annual training material and provide in-person or virtual live training to registered personnel on relevant topics
• Assist Director of Compliance with regulatory inquiries and help with preparing responses in tight deadlines.
• Serve as the backup to Director of Compliance with remediation of regulatory issues
• Help with electronic communications and social media reviews of employees
• Actively promote awareness of compliance to sales and back-office staff

Required Qualifications:

• Knowledge of Broker-Dealer compliance, regulations, and requirements
• Able to work in partnership with compliance staff and different business units
• Able to use judgement and make sound decisions
• Solid organizational skills and ability to prioritize tasks in a dynamic environment
• Ability to identify issues and trends and escalate to management as necessary
• Clear communicator
• Leadership skills and strong character
• FINRA SIE, Series 6 & 26 or to be obtained within 180 days of employment
• At this time, Mutual of America Financial Group will not sponsor an applicant for employment authorization for this position.

Preferred Qualifications:

• 4-5 years of general securities regulatory compliance experience
• Adequate knowledge of individual and group variable annuities and mutual fund products and the application of regulations to sales practices of such products and services
• Previous experience working in compliance at a FINRA-member firm, compliance consulting firm, Self-Regulatory Organization (SRO), or other regulator of broker-dealers
• FINRA SIE and/or Series 6/7

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: You will be eligible to receive up to 9% of your pay (salary and incentive compensation) in company contributions. A non-elective employer contribution of 3%, plus a 100% employer match on employee contributions of up to 6% of pay.
• Parental Leave: 8 weeks fully paid
• Paid time off: 20 days plus two floating personal holidays
• Matching Gift Program: Mutual of America matches donations of $25 or more to your favorite organizations

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:

$110,000 - $145,000

Visit www.mutualofamerica.com/careers for additional details about life at Mutual of America. You can also follow us on Twitter: @mutualofamerica | Facebook: @mutualofamerica

Mutual of America Financial Group provides equal employment opportunity to all qualified employees and applicants for employment regardless of race, color, creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, marital or partnership status, sexual orientation, gender identity or expression, disability, genetic predisposition, veteran or military status, or any other classification prohibited by applicable law. #LI-JB1