Analyst/Senior Analyst, Compliance

About the role

MIM Compliance is seeking an engaged, detail oriented, and self-motivated Compliance Officer to join the team. The Compliance Officer will be primarily responsible for key investment adviser and broker-dealer compliance activities, including but not limited to code of ethics, gifts & entertainment, outside business activities, email surveillance, regulatory reporting, and electronic communications.

What you'll do

• Support the Code of Ethics Compliance Program, including reviewing personal trading requests, account
• Review and approve gifts and entertainment disclosures monitoring, reporting, and related conflicts of
• Support the broker-dealer branch office inspection program by preparing documentation, reports, and
• Assisting with risk assessments
• Review outside business activities and private securities transaction reviews, including risk assessments

What you need

• 5–9 yrs of experience
• Compliance
• Documentation
• Any graduate