Analyst/Senior Analyst, Compliance

Overview

Support MIM Compliance with investment adviser and broker-dealer compliance activities, including code of ethics, gifts and entertainment, outside business activities, email surveillance, regulatory reporting, and electronic communications.

What you'll do

• Support the Code of Ethics Compliance Program, including reviewing personal trading requests, account disclosures, certifications, restricted lists, and employee compliance monitoring.
• Review and approve gifts and entertainment disclosures, monitoring, reporting, and related conflicts of interest assessments.
• Support the broker-dealer branch office inspection program by preparing documentation, reports, and assisting with risk assessments.
• Review outside business activities and private securities transaction reviews, including risk assessments, approvals, ongoing oversight, and conflict management.
• Conduct electronic communications surveillance, investigate alerts and exceptions, and escalate potential policy or regulatory violations as appropriate.
• Coordinate and support certain broker-dealer regulatory filings, including complaints reporting.
• Execute compliance monitoring and testing activities, document findings, track remediation efforts, and identify opportunities to strengthen controls.
• Maintain and enhance compliance policies, procedures, training, and governance processes to address evolving regulatory requirements and business activities.
• Respond to questions and requests from business stakeholders.
• Prepare quarterly metrics and reports based on the above activities.
• Draft and maintain compliance procedures for code of ethics / personal trading, gifts and entertainment, outside business activities, email surveillance, regulatory reporting, electronic communications and other topics as needed.
• Provide other ad hoc compliance support to the broader MIM Compliance team.

What you'll need

• 5+ years of compliance experience, including experience preparing regulatory filings across multiple legal entities and jurisdictions.
• Broad understanding of key US regulatory requirements applicable to registered investment advisers and broker-dealers and ability and desire to learn over time.
• Exceptional organizational skills and meticulous attention to detail.
• Excellent written and verbal communication skills.
• Ability to think proactively, identify issues and make recommendations for improvement of processes.
• Excellent interpersonal skills required to develop partnerships and relationships throughout the organization.
• Must be a dedicated, self-motivated individual with an ability to work independently under moderate supervision.
• High degree of professionalism, sound judgment and discretion.
• Minimum bachelor's degree.

Nice to have

• FINRA licenses or other industry credentials.
• StarCompliance experience.

Details

• Reports to: Vice President, Core Compliance.
• Key stakeholders: Compliance, Legal, other functional partners and business stakeholders.