Compliance Analyst

Manning & Napier, Inc.; Village of Fairport (NY); Híbrido; USD 80.000 - 100.000; Jornada completa

Descripción de la vacante

Manning & Napier, Inc. is seeking a Compliance Analyst to report to the Chief Compliance Officer and support the firm’s compliance framework across advisory, broker-dealer and fund programs.

Responsibilities include updating procedures, managing regulatory filings and disclosures, reviewing marketing materials, vendor risk and internal audits. The ideal candidate has a bachelor’s degree, 3+ years of compliance experience, and required licenses, with strong communication and attention to detail.

Formación

• Bachelor’s degree with strong academic record.
• 3+ years of compliance experience in financial services.
• Active SIE, Series 7, 24, and 63 or 66 licenses or attainment within the first year.
• Strong communication, organization, and attention to detail.
• Ability to adapt to changing regulatory environments.

Responsabilidades

• Support various functions related to the maintenance of Compliance Programs, including procedure updates, process implementation, annual assessments, review of exceptions, and training
• Stay current on industry trends and changes to regulations and legislation and assist in evaluating potential impact and updating compliance programs
• Assist with compliance reporting, risk assessments, annual reviews, and vendor reviews
• Support the review, monitoring, and filing of regulatory disclosures, including SEC and FINRA filings
• Maintain and oversee all communications-related policies and procedures
• Serve as primary liaison between Marketing and Compliance, and review and approve marketing material, Requests for Information and Requests for Proposal
• Administer and perform electronic communications surveillance and maintain related policies and procedures
• Support routine supervision over sales practice policies and procedures
• Conduct branch office audits and support internal and external regulatory examinations
• Participate in Compliance Department meetings, training, and cross-training initiatives
• Assist with product and corporate initiatives and other projects, as needed

Conocimientos

Communication skills

Organizational skills

Attention to detail

Adaptability to regulatory changes

Educación

Bachelor’s degree

SIE, Series 7, 24, and 63 or 66 licenses

Descripción del empleo

Summary Manning & Napier is seeking a Compliance Analyst to report to the Chief Compliance Officer (CCO) and play an integral role in the firm’s compliance program and regulatory affairs. This role will work closely with the CCO and broader compliance/legal team to foster the firm’s culture of compliance and support the design, implementation, and ongoing administration of the firm’s compliance framework. This position offers broad exposure to the Firm’s various compliance programs, including investment adviser, broker-dealer and fund compliance, regulatory filings, marketing reviews, and strategic business initiatives. Specific duties may be adjusted over time as the Compliance Team and business needs evolve. The ideal candidate is detail-oriented, intellectually curious, organized, and comfortable operating in a fast-paced environment, with evolving business priorities.

Responsibilities

• Support various functions related to the maintenance of Compliance Programs, including procedure updates, process implementation, annual assessments, review of exceptions, and training
• Stay current on industry trends and changes to regulations and legislation and assist in evaluating potential impact and updating compliance programs
• Assist with compliance reporting, risk assessments, annual reviews, and vendor reviews
• Support the review, monitoring, and filing of regulatory disclosures, including SEC and FINRA filings
• Maintain and oversee all communications-related policies and procedures
• Serve as primary liaison between Marketing and Compliance, and review and approve marketing material, Requests for Information and Requests for Proposal
• Administer and perform electronic communications surveillance and maintain related policies and procedures
• Support routine supervision over sales practice policies and procedures
• Conduct branch office audits and support internal and external regulatory examinations
• Participate in Compliance Department meetings, training, and cross-training initiatives
• Assist with product and corporate initiatives and other projects, as needed

Qualifications

• Bachelor’s degree, with a strong record of academic achievement
• 3+ years of compliance experience in the financial industry or related field
• Active SIE, Series 7, 24, and 63 or 66 licenses, or attainment of required licenses within the first year
• Strong communication and organizational skills, and high attention to detail
• Ability to adapt to ever-changing regulatory environment and address competing/conflicting demands
• Strategic problem solver committed to collaboration, innovation, and team function, with the highest standards of personal and professional integrity and ethics

Compensation: $80,000-$100,000 expected base salary

Manning & Napier is a wealth and investment manager that prides itself on helping our clients meet their financial goals. For fifty-five years, we have developed deep relationships with our clients and have employed a research-driven approach to wealth management. Whether we are helping a non-profit grow its endowment, an individual retire with confidence, or an advisor develop their practice, we maintain a focus on real-world results. Our culture rewards curiosity and an entrepreneurial attitude. We are always looking for passionate individuals to join our team.