Compliance Analyst

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.

Description

Key Responsibilities

• Participate in compliance testing as part of the firm's overall Investment Advisers Act Rule 206(4)-7 and FINRA 3130 program.
• Assist with updating, maintaining, and drafting policies and procedures.
• Conduct Email Surveillance utilizing Globaly Relay Archive.
• Review and analyze reports generated by the firm's surveillance systems and address surveillance issues as necessary.
• Assist business units on compliance issues relating to Code of Ethics, Gifts/Entertainment, Money Laundering Prevention, and Outside Activities.
• Prepare and submit regulatory filings (i.e., Form 13G and 13D filings).
• Review and approve employee requests for items such as political contributions, private investments, and outside business activities.
• Assist with regulatory examinations, inquiries, investigations and projects, as necessary.