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Senior Compliance Analyst

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Date Posted: Nov 3, 2022

Location(s): Whippany, New Jersey, US, 7981

Company: MetLife

Job Location: United States : New Jersey : Whippany  

Alternate Job Location: Not Applicable : Not Applicable 

Work Arrangement: Hybrid 

 

Role Value Proposition: 

Compliance Risk Management (CRM) delivers a compliance risk framework that enables the businesses and functions to comply with applicable internal and external rules and regulations and maintain risk levels within MetLife’s risk appetite. CRM provides constructive challenge to the businesses and functions, partnering closely with them to implement strong processes and effective controls, as well as to foster and embed a culture of compliance. CRM is part of Global Risk Management (GRM) and maintains a matrixed reporting line to Legal Affairs.

The Senior Compliance Analyst, Investments Core Compliance, will be responsible for supporting core compliance programs for MIM’s platform, MetLife’s Affiliated Insurance Companies (AIC) representing the general account, and MetLife’s two US registered broker-dealers. This role will help to ensure the investments and broker/dealer core compliance programs are fit for purpose in light of regulatory expectations, laws, and industry standards. The successful candidate will perform various controls and monitoring activities with a focus on driving efficiency, productivity, and integration across the MIM footprint.

 

Core compliance programs, include but are not limited to, personal trading, conflicts of interest, electronic communication surveillance, outside business activities, and information barriers / wall crossing. This role will also support the sanctions monitoring program and must be able to develop and maintain effective relationships, facilitate discussions, and develop and updated policies, procedures, and control as needed.

 

The successful candidate will demonstrate commitment and skill in working on a collaborative team, driving engagement, knowing when to escalate, and fostering trusted strategic partnerships with internal stakeholders, partners, and clients.

 

This role is an exciting opportunity to join MetLife to help shape and implement a clear, comprehensive, disciplined, and sustainable compliance risk management framework for our investments business at a time of rapid transformation and global growth.

 

Key Responsibilities:

  • Manage compliance projects from initial stages through implementation of corrective actions
  • Perform various compliance surveillance and monitoring activities (e.g., email surveillance, information barriers / wall crossing, etc.) and prepare related Compliance metrics on such activities
  • Provide direction to business partners with regard to compliance policies and procedures
  • Perform reviews of business units' controls and procedures to identify areas of potential compliance risk and make recommendations as needed
  • Identify, monitor, and test key controls, as prescribed by the annual testing & monitoring plan
  • Communicate and document results of surveillance and monitoring activities
  • Review and update Compliance policies and procedures as needed

 

Essential Business Experience and Technical Skills:

 

  • Bachelor’s degree required
  • 4 + years of experience in compliance, risk, legal, financial services
  • Demonstrated ability to engage in complex problem solving and analytical thinking
  • Effective communication skills and relationship building abilities
  • Detail-oriented and excellent organizational skills
  • Microsoft Office expertise, including Excel, Word, and PowerPoint

 

Preferred:

  • JD, MBA, or CPA a plus
  • Financial industry professional certifications or designation a plus

 

Business Category 

MetLife Investment Management – Compliance Risk Management

 
Number of Openings 

1

 
"At MetLife, we’re leading the global transformation of an industry we’ve long defined. United in purpose, diverse in perspective, we’re dedicated to making a difference in the lives of our customers. "

 

 

 

MetLife:

 

MetLife, through its subsidiaries and affiliates, is one of the world’s leading financial services companies, providing insurance, annuities, employee benefits and asset management to help its individual and institutional customers navigate their changing world. Founded in 1868, MetLife has operations in more than 40 countries and holds leading market positions in the United States, Japan, Latin America, Asia, Europe and the Middle East.

 

We are one of the largest institutional investors in the U.S. with $642.4 billion of total assets under management as of March 31, 2021. We are ranked #46 on the Fortune 500 list for 2021. In 2020, we were named to the Dow Jones Sustainability Index (DJSI) for the fifth year in a row. DJSI is a global index to track the leading sustainability-driven companies. We are proud to have been named to Fortune magazine’s 2021 list of the “World’s Most Admired Companies.”      

 

MetLife is committed to building a purpose-driven and inclusive culture that energizes our people. Our employees work every day to help build a more confident future for people around the world.

 

We want to make it simple for all interested and qualified candidates to apply for employment opportunities with MetLife.  For further information about how to request a reasonable accommodation, please click on the Disability Accommodations link below.

 

MetLife is a proud Equal Employment Opportunity and Affirmative Action employer dedicated to attracting, retaining, and developing a diverse and inclusive workforce. All qualified applicants will receive consideration for employment at MetLife without regards to race, color, religion, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity or expression, age, disability, national origin, marital or domestic/civil partnership status, genetic information, citizenship status, uniformed service member or veteran status, or any other characteristic protected by law.

 

MetLife maintains a drug-free workplace.