Compliance Analyst

Manhattan Permanent USD75,000 - USD100,000
  • Opportunity to join a prestigious investment manager
  • Client will move quickly with qualified candidate

About Our Client

Our client is a Global Private Investment Manager that holds over $400 billion in client assets.

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 with regulatory exams, inquiries, and investigations as needed
  • Prepare and submit filings - including, but not limited to, Form 13G and 13D
  • Review and analyze reports generated by the firm's surveillance systems.
  • Support LOBs regarding compliance issues relating to the Compliance Manual, Code of Ethics, Restricted List, Money Laundering Prevention, Outside Activities, Gifts/Entertainment.
  • Conduct Email Surveillance; familiarity with Global Relay Archive & Compliance system a plus
  • Participate in compliance testing as part of the firm's overall Investment Advisers Act Rule 206(4)-7 and FINRA 3130 program.
  • Update, maintain, and draft certain aspects of firm policies and procedures.
  • Review and approve employee requests for items such as gifts/entertainment, political contributions, outside business activities, and private investments

The Successful Applicant

  • 2 - 5 years of investment advisory or broker-dealer experience
  • Must have bachelor's degree
  • Experience with equity and fixed-income securities products preferable, knowledge of futures, commodities, currencies, and derivatives on those types of investments a plus.
  • Candidate must work well in a team
  • Experience with Senior Management, must have excellent communication skills

What's on Offer

  • Our client offers a competitive compensation package
Erica Kriegl
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Job summary

Banking & Financial Services
Sub Sector
Compliance & Legal
Financial Services
Contract Type
Consultant name
Erica Kriegl
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