General Description: MFG is seeking a detail-oriented Compliance Manager to join our firm. In this position, you will perform a variety of regulatory compliance and risk management duties. Additional responsibilities may include credit monitoring, financial analysis & reporting, and support for various business development and operations projects.
The ideal candidate will have a strong foundation in regulatory compliance and risk management with exposure to trade surveillance practices and financial analysis within a broker-dealer, investment management, or financial services environment.
General Responsibilities:
- Assess internal controls, including risk assessments and review of high-risk areas.
- Assess the creditworthiness of new and existing customers by analyzing financial statements, credit reports, and other relevant data.
- Monitor and review customer credit accounts to identify potential risks or recommend credit limit adjustments.
- Identify and analyze trends and patterns related to credit risk and provide recommendations for mitigating potential risks.
- Focus on assessing, monitoring, and reviewing credit activities to support the firm's financial stability and margin requirements.
- Use appropriate technology to perform equity and fixed income trade surveillance.
- Review and monitor periodic regulatory trade reporting activities (best execution, TRACE, MSRB, CAT, CAIS, 605/606, etc.)
- Provide research and analytic support for periodic regulatory inquiries.
- Assist with the preparation of regulatory financial filings.
- Review reconciliations of clearing broker transaction activity and account balances.
Qualifications
Required:
- Bachelor's degree in finance, business administration, or a related field.
- 4+ years of relevant experience within the broker-dealer industry or financial services sector.
- Knowledge of securities regulations, including SEC, FINRA, and margin reporting requirements.
- Excellent analytical skills with the ability to interpret complex data sets and identify trends, patterns, and anomalies.
- Excellent verbal and written communication skills
- Ability to work independently and collaboratively in a fast-paced and dynamic environment with a commitment to professionalism, integrity, and ethical conduct
Preferred:
- FINRA licenses: SIE, 7, 14, 27, and/or 63
- Proficiency in:
- Microsoft Excel, Word, Outlook
- Access
- Instinet, Bloomberg TOMS & CMGR/VMGR
Benefits:
- 401(k)
- Medical
- Dental
- Vision
- Life Insurance
- Employee Assistance Program (EAP)
