Senior Compliance Analyst

Mutual of America • New York, NY

9d • $88,000 - $132,000 • Hybrid

About The Position

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 1945, 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.

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.

Requirements

• Bachelor’s Degree
• Knowledge of the Investment Advisers Act and Investment Company Act
• 2+ 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 (e.g., electronic communications supervision, portfolio compliance, personal trade monitoring systems)
• Advanced knowledge of Microsoft Excel, Word, and PowerPoint.

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

Benefits

• Competitive base salary
• Annual Bonus
• Comprehensive Benefits Package (medical, dental, and vision) that starts day one of employment.
• 401K Match: Receive up to 6% of your pay (salary and incentive compensation) with 100% employer match on employee contributions.
• Parental Leave: 8 weeks fully paid.
• Paid time off: 20 days plus two floating personal holidays

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 1,001-5,000 employees