Senior Compliance Analyst

About the role

The Sr. Compliance Analyst supports the implementation, administration, and ongoing monitoring of the firm’s risk-based compliance program. This role works closely with the Director of Compliance and Chief Compliance Officer to help ensure the firm’s activities adhere to applicable regulatory requirements, internal policies, and industry best practices. The Sr. Compliance Analyst plays a key role in executing the firm’s compliance testing and monitoring program, supporting regulatory filings and disclosures, reviewing marketing material for regulatory compliance, maintaining required records, and assisting with regulatory examinations and inquiries. This role is designed for a detail-oriented professional who can help operationalize compliance initiatives while contributing to a strong culture of ethics, integrity, and regulatory awareness throughout the firm.

Responsibilities

• Compliance Testing, Monitoring & Risk Assessment Execute MCF’s annual and quarterly compliance testing and monitoring program, including risk-based reviews, periodic surveillance, and sample testing. Maintain the compliance testing calendar and document testing procedures, results, exceptions, findings, and remediation in accordance with regulatory expectations. Support the development and maintenance of MCF’s Compliance Risk Assessment, incorporating testing results, regulatory developments, trends, and emerging risks. Identify and escalate compliance risks and control deficiencies; track remediation and report significant findings and trends to Compliance leadership.
• Regulatory Filings, Recordkeeping & Policy Support Support the preparation, maintenance, and timely filing of Form ADV and related disclosures, and other regulatory filings, certifications, and reporting obligations. Coordinate the collection and validation of information from internal stakeholders to support regulatory filings, annual compliance requirements and program updates. Monitor regulatory developments and assist with assessing and implementing necessary updates to MCF’s policies, procedures, disclosures, and compliance program. Support MCF’s annual compliance program review, development and maintenance of compliance policies, procedures, training materials, and other regulatory documentation. Maintain accurate compliance records in accordance with SEC recordkeeping requirements and MCF policies, and track required deliverables to ensure timely completion.
• Marketing & Advertising Review Conduct compliance reviews of marketing and advertising materials to ensure adherence to SEC marketing rules. Maintain complete and organized records of marketing reviews, approvals, supporting documentation, and related compliance