Compliance Manager

Key Responsibilities:

• Assist in Compliance & Regulatory inquiries, including coordinating SEC and NFA filings, and maintaining a Compliance calendar.
• Design, maintain, and implement enhancements to the firm's policies and procedures.
• Enhance the firm's Code of Ethics, Personal Trading, Information Barriers, and Outside Business Activities program.
• Identify potential areas of Compliance risks and assist in the development of corrective actions where necessary.
• Review client and market facing deliverable, including tailored marketing materials, proposals, etc.
• Manage the firm's compliance testing program.
• Draft and monitor the completion of mandatory compliance training's.
• Maintain the records of the firm's compliance committee

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.