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For your reference, we have included the original job posting below.
Senior Compliance Analyst, 40 Act / Adviser Act
Job Number:
43347117
Company Name:
Confidential Company
Job Location:
Morristown, NJ Us
Job Category:
Legal Services
Salary:
$100K+
Senior Compliance Analyst, 40 Act / Adviser Act
Why Work at MetLife
Work shouldn’t be something you do just to make ends meet… It should provide satisfaction and an opportunity to make a difference.
At MetLife, one of our core values is that “People Count” – that includes our employees. Work should fuel your ambitions, not limit them. We are always looking for talented people to help us meet our vision to build financial freedom for everyone.
If you are seeking a rewarding career at a place the values their workforce and embraces diversity, including and partnership – Then you’ve come to the right place.
For over 140 years, MetLife has been insuring the lives of people who depend on us. Our success is based on our long history of social responsibility, strong leadership, sound investments and innovative products and services. For more on our history and vision for the future, visit is more than just life insurance. Today we are a major force in financial services: Investments, Financial Advice, Banking and Insurance.
For information and to search for opportunities with MetLife, visit: Description:
This individual will be part of a team that is responsible for administering the compliance programs for MetLife’s proprietary mutual funds and their investment adviser and for overseeing the compliance programs of the sub-advisers to MetLife’s proprietary mutual funds, the funds’ service providers, and third-party money managers hired by MetLife’s Corporate Benefit Funding and Investments Dept.
Specifically, this associate will be responsible for: reviewing compliance policies and procedures, quarterly review of the sub-advisers’ compliance programs, and review of due diligence questionnaire responses from third-party money managers and assessing whether they meet the standards set forth by MetLife’s Investment Compliance Unit, following up with the third-party money managers to resolve questions or issues raised by their submissions.
This associate will also be responsible for assisting with the sub-adviser due diligence review program, preparing material for our annual compliance report and for preparing quarterly mutual fund board materials. This associate will also play a key role in the day-to-day administration of the compliance risk management program related to these business units, by maintaining the inventory of laws, overseeing compliance controls, such as personal trading oversight, and conducting ongoing monitoring and testing of controls in place designed to ensure compliance with the Investment Advisers Act of 1940 and the Investment Company Act of 1940. The ideal candidate should have 2 -4 years experience with an asset management firm in a compliance or operations capacity.
Principal Responsibilities:
Review of compliance policies and procedures, quarterly compliance materials, and due diligence questionnaire responses to determine adequacy
Oversee personal trading of access persons through automated system
Maintain Compliance Risk Management program elements, such as inventory of laws and documentation of compliance controls
Conduct quarterly risk assessment of control environment
Maintain Quarterly Board Matters report
Project manage and track short and long-term IC task list
Organize and maintain materials to be reported to boards for annual contract renewal process
Assist with the sub-adviser due diligence review
Assist with sub-adviser specific requests and questions
Keep updated on relevant SEC developments and industry best practices
Maintain IC electronic files including maintenance of compliance policies and procedures
Special projects as requested
Some travel may be required
Typical Experience/Skills:
• B.A., required. J.D., a plus • 2 - 4 years compliance or operations experience with an asset management firm • Applied knowledge of the Investment Company Act of 1940 and Investment Adviser Act of 1940 • Proficient in the use of Microsoft - Word, Excel and PowerPoint • Excellent written, oral and presentation skills • Exceptional organizational skills required and must be detail oriented • Must be able to work on multiple projects at the same time • Must have the ability to work independently and in a team environment • Should have a flexible and adaptive work style
