Compliance Analyst
OVERVIEW OF MCF Advisors
MCF is an investment management company that serves clients through three divisions: Wealth Management Services, Retirement Plan Services, and Institutional Investment Services. The Wealth Management Division provides investment management and comprehensive financial planning services to individuals, families, and privately-owned business owners. The Retirement Plan Division serves clients as a “Chief Retirement Plan Officer”, providing fiduciary investment advice, plan governance, plan design consulting, vendor selections and interfacing, and participant education services. In addition, the Retirement Plan Division provides investment management for defined benefit plans, deferred compensation plans, and health insurance trusts. The Institutional Investment Division provides investment management and consulting services to pension plans, endowments, foundations, and private family offices. MCF is a Securities and Exchange Commission registered investment advisor.
The 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 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.
Key Responsibilities
· Compliance Testing, Monitoring & Risk Assessment
o Execute MCF’s annual and quarterly compliance testing and monitoring program, including risk-based reviews, periodic surveillance, and sample testing.
o Maintain the compliance testing calendar and document testing procedures, results, exceptions, findings, and r...
Lorem ipsum dolor sit amet, consectetur adipiscing elit. Sed do eiusmod tempor incididunt ut labore et dolore magna aliqua. Ut enim ad minim veniam, quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat. Duis aute irure dolor in reprehenderit in voluptate velit esse cillum dolore eu fugiat nulla pariatur. Excepteur sint occaecat cupidatat non proident, sunt in culpa qui officia deserunt mollit anim id est laborum.
Sed ut perspiciatis unde omnis iste natus error sit voluptatem accusantium doloremque laudantium, totam rem aperiam, eaque ipsa quae ab illo inventore veritatis.