Analyst/Senior Analyst, Compliance
Core
Ensure compliance with internal and external rules for MetLife's institutional investment management business and broker-dealers, covering ethics, gifts, outside activities, and regulatory reporting.
Role type
Senior IC compliance officer (investment management)
Builds
Compliance risk framework and regulatory reporting for MetLife Investment Management
Domain
Asset management / Investment advisory
Required skills
Regulatory filing preparation, Code of Ethics program management, Gifts & entertainment monitoring, Outside business activity oversight, Electronic communications surveillance, Broker-dealer inspection support, Compliance testing and remediation, Policy and procedure development
Preferred skills
FINRA licenses, StarCompliance experience
Technologies
StarCompliance
Responsibilities
Review personal trading requests and account disclosures; Monitor gifts and entertainment for conflicts of interest; Prepare documentation for broker-dealer branch office inspections; Conduct electronic communications surveillance and investigate alerts; Coordinate regulatory filings and complaints reporting; Execute compliance monitoring and testing activities; Draft and maintain compliance procedures.
Seniority
Senior, hands-on IC