Mutual of America Financial Group · 1 day ago
Senior Compliance Analyst
New York, NY
Full-time
Hybrid
Mid, Senior Level
$88K/yr - $132K/yr
2+ years expMutual of America Financial Group is dedicated to helping people achieve financial security through their pension and retirement-related services. They are seeking a Senior Compliance Analyst to assist the Chief Compliance Officer in managing compliance programs for their Registered Investment Adviser and Registered Investment Company subsidiaries.
InsuranceLife InsuranceService Industry
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
Qualification
Required
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
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
Company
Mutual of America Financial Group
Mutual of America Financial Group is a leading provider of retirement products, services and investments to individuals and organizations.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
John Greed
Chairman & Chief Executive Officer
Stephen Rich
Chairman and CEO
Recent News
2025-09-19
Business – Latest Financial & Stock Market News | New York Post
2025-06-30
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