Job highlights

- Educational background - minimum bachelor s degree
- Excellent interpersonal skills required to develop partnerships and relationships throughout the organization
- Must be a dedicated,self-motivated individual with an ability to work independently under moderate supervision
- Systems - StarCompliance experience a plus

Main Responsibilities Qualifications Department: 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, maintain risk levels within MetLife s risk appetite, and integrate ethics and compliance principles across MetLife.

Within CRM, the MIM Compliance department provides oversight and coverage to MetLife Investment

Management (MIM), MetLife s institutional investment management business, and to MetLife s brokerdealers.

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. This role will work closely with other members of MIM Compliance as well as other functional partner and business stakeholders as needed.

Key Responsibilities:

- Support the Code of Ethics Compliance Program, including reviewing personal trading requests, account disclosures, certifications, restricted lists, and employee compliance monitoring.
- Review and approve gifts and entertainment disclosures monitoring, reporting, and related conflicts of interest assessments.
- 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, approvals, ongoing oversight, and conflict management.
- Conduct electronic communications surveillance, investigate alerts and exceptions, and escalate potential policy or regulatory violations as appropriate.
- Coordinate and support certain broker-dealer regulatory filings, including complaints reporting.
- Execute compliance monitoring and testing activities, document findings, track remediation efforts, and identify opportunities to strengthen controls.
- Maintain and enhance compliance policies, procedures, training, and governance processes to address evolving regulatory requirements and business activities.
- Respond to questions and requests from business stakeholders.
- Prepare quarterly metrics and reports based on the above activities.
- Draft and maintain compliance procedures for code of ethics / personal trading, gifts entertainment, outside business activities, email surveillance, regulatory reporting, electronic communications and other topics as needed.
- Provide other ad hoc compliance support to the broader MIM Compliance team.

Key Relationships

- Reports to: Vice President, Core Compliance
- Key Stakeholders: Compliance, Legal, other functional partners and business stakeholders Candidate Qualifications, Essential Business Experience, Competencies, and Technical Skills

- 5+ years of compliance experience, including experience preparing regulatory filings across multiple legal entities and jurisdictions.




- Broad understanding of key US regulatory requirements applicable to registered investment advisers and broker-dealers and ability and desire to learn over time.

- Exceptional organizational skills and meticulous attention to detail.
- Excellent written and verbal communication skills.
- Ability to think proactively, identify issues and make recommendations for improvement of processes.

- Excellent interpersonal skills required to develop partnerships and relationships throughout the organization.
- Must be a dedicated, self-motivated individual with an ability to work independently under moderate supervision.

- High degree of professionalism, sound judgment and discretion.
- Educational background - minimum bachelor s degree.
- Licensing / registrations - FINRA licenses or other industry credentials a plus, but not required.

- Systems - StarCompliance experience a plus.

MetLife Success Principles

- Experiment with Confidence - Courageously learn and test new ideas without fear of failure

- Act with Urgency - Demonstrate speed to action with agility and determination
- Seek Diverse Perspectives - Source ideas and feedback to expand thinking and make informed decisions

- Seize Opportunity - Drive responsible growth and identify areas for continuous improvement
- Champion Inclusion - Foster an setting where everyone is valued, heard, and can speak up

- Create Alignment - Partner with others across the organization with candor and transparency
- Take Responsibility - Be accountable and act in pursuit of the right outcomes
- Enable Solutions - Anticipate and address obstacles while managing risk

- Deliver What Matters - Execute meaningful priorities and follow through on commitments

Disclaimer: This job posting and Location has been aggregated from external source. Role details, content, and availability are subject to change.

Applicants are advised to confirm the latest information directly on the company website before applying.

📌 Analyst/Senior Analyst, Compliance (Mumbai)
🏢 PineBridge
📍 Mumbai