Compliance Analyst

Job Description
Summary
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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.

Description

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