Compliance Analyst

New York Permanent
  • Opportunity to work in a dynamic work environment
  • Gain experience in a top RIA Investment firm

About Our Client

Dual RIA broker dealer located in Manhattan, NY.

Job Description

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.


  • Assist in daily surveillance activities including electronic communications.
  • Test for potential regulatory violations.
  • Assist in updating the firm on best practices.
  • Assist in responding to regulatory inquiries.
  • Report to the Chief Compliance Officer and Compliance Officers in implementing regulatory Compliance Program.

The Successful Applicant

  • 2-3+ years of experience in asset management regulatory compliance.
  • Experience in assisting in compliance in procedures and protocols applicable to RIAs, registered broker-dealers and private funds.
  • Series 7 and 24 required.

What's on Offer

Our client offers a competitive salary package with healthy benefits package.

Karen Cortez
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Karen Cortez
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