Mutual of America
Mutual of America Financial Group
Job Title : Senior Compliance Analyst
Location : New York, NY (Hybrid)
Who We Are : At Mutual of America Financial Group (“Mutual of America”), our mission is to “help people build the assets they need to achieve greater financial security.” Our mission is built upon a strong foundation of integrity, excellence, and social responsibility. Since , we have specialized in providing small and mid-sized not-for-profit organizations and companies with pension– and retirement-related services, along with leading customer support. We work diligently to understand the needs of plan sponsors. We provide them with competitively priced solutions so they can help their employees achieve their financial planning goals.
We’re committed to bringing talented and motivated people together to help our customers plan for a financially secure future.
Role Summary : Mutual of America’s Compliance Department is seeking a Senior Compliance Analyst, with experience in Registered Investment Adviser (RIA) and Registered Investment Company (RIC) compliance to assist the Chief Compliance Officer (CCO) in managing compliance programs of the Company’s RIA subsidiary and the RIC funds it advises. In this role, you will contribute to the success of multiple compliance programs and will have the opportunity to work closely with RIA and RIC management.
Responsibilities :
Assist with updating RIA and RIC policies and procedures
Conduct regulatory risk assessments
Perform compliance testing of RIA and RIC compliance policies and procedures and third-party vendor oversight
Prepare quarterly compliance reports to RIA and RIC management boards of directors
Provide training to employees on RIA and RIC policies and procedures and Code of Ethics
Prepare Form ADV amendments and oversee timely submission of RIA and RIC regulatory filings
Assist with reviewing electronic communications and administration of electronic communications system
Assist with administering and monitoring for compliance with the Code of Ethics including the administration of the personal trade compliance monitoring system
Conduct compliance investigations, prepare root cause analysis for compliance issues, and oversee remediation
Assist with frequent trade monitoring, investigating alerts generated by Financial Crime Risk Management system, preparing SAR filings, and reporting matches to OFAC and FinCEN.
Assist with regulatory examinations and inquiries
Serve as compliance subject matter expert for RIA and RIC initiatives
Required Qualifications :
Bachelor’s Degree
Knowledge of the Investment Advisers Act and Investment Company Act
years of experience in Investment Adviser / Investment Company compliance or related role
Meticulous attention to detail
Highly motivated self-starter with a desire to work in a faced paced environment
Robust written and oral communication skills
Strong interpersonal skills with the ability to collaborate with various business units at all levels
Ability to organize and prioritize workflow and assignments
Ability to exercise discretion and highest level of confidentiality
Experience with compliance technology systems (, electronic communications supervision, portfolio compliance, personal trade monitoring systems)
Advanced knowledge of Microsoft Excel, Word, and PowerPoint.
What we offer you :
Competitive base salary
Annual Bonus
Comprehensive Benefits Package (medical, dental, and vision) that starts day one of employment.
K Match : Receive up to % of your pay (salary and incentive compensation) with % employer match on employee contributions.
Parental Leave : weeks fully paid.
Paid time off : days plus two floating personal holidays
The salary range below describes the minimum to maximum base salary range for this role. The role is also eligible for an annual bonus; whereby total compensation may exceed this range depending on individual and / or company performance.
Base Salary Range : $ , - $
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Job Title : Senior Compliance Analyst
Location : New York, NY (Hybrid)
Who We Are : At Mutual of America Financial Group (“Mutual of America”), our mission is to “help people build the assets they need to achieve greater financial security.” Our mission is built upon a strong foundation of integrity, excellence, and social responsibility. Since , we have specialized in providing small and mid-sized not-for-profit organizations and companies with pension– and retirement-related services, along with leading customer support. We work diligently to understand the needs of plan sponsors. We provide them with competitively priced solutions so they can help their employees achieve their financial planning goals.
We’re committed to bringing talented and motivated people together to help our customers plan for a financially secure future.
Role Summary : Mutual of America’s Compliance Department is seeking a Senior Compliance Analyst, with experience in Registered Investment Adviser (RIA) and Registered Investment Company (RIC) compliance to assist the Chief Compliance Officer (CCO) in managing compliance programs of the Company’s RIA subsidiary and the RIC funds it advises. In this role, you will contribute to the success of multiple compliance programs and will have the opportunity to work closely with RIA and RIC management.
Responsibilities :
Assist with updating RIA and RIC policies and procedures
Conduct regulatory risk assessments
Perform compliance testing of RIA and RIC compliance policies and procedures and third-party vendor oversight
Prepare quarterly compliance reports to RIA and RIC management boards of directors
Provide training to employees on RIA and RIC policies and procedures and Code of Ethics
Prepare Form ADV amendments and oversee timely submission of RIA and RIC regulatory filings
Assist with reviewing electronic communications and administration of electronic communications system
Assist with administering and monitoring for compliance with the Code of Ethics including the administration of the personal trade compliance monitoring system
Conduct compliance investigations, prepare root cause analysis for compliance issues, and oversee remediation
Assist with frequent trade monitoring, investigating alerts generated by Financial Crime Risk Management system, preparing SAR filings, and reporting matches to OFAC and FinCEN.
Assist with regulatory examinations and inquiries
Serve as compliance subject matter expert for RIA and RIC initiatives
Required Qualifications :
Bachelor’s Degree
Knowledge of the Investment Advisers Act and Investment Company Act
years of experience in Investment Adviser / Investment Company compliance or related role
Meticulous attention to detail
Highly motivated self-starter with a desire to work in a faced paced environment
Robust written and oral communication skills
Strong interpersonal skills with the ability to collaborate with various business units at all levels
Ability to organize and prioritize workflow and assignments
Ability to exercise discretion and highest level of confidentiality
Experience with compliance technology systems (, electronic communications supervision, portfolio compliance, personal trade monitoring systems)
Advanced knowledge of Microsoft Excel, Word, and PowerPoint.
What we offer you :
Competitive base salary
Annual Bonus
Comprehensive Benefits Package (medical, dental, and vision) that starts day one of employment.
K Match : Receive up to % of your pay (salary and incentive compensation) with % employer match on employee contributions.
Parental Leave : weeks fully paid.
Paid time off : days plus two floating personal holidays
The salary range below describes the minimum to maximum base salary range for this role. The role is also eligible for an annual bonus; whereby total compensation may exceed this range depending on individual and / or company performance.
Base Salary Range : $ , - $
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