• Veterans Strongly Encouraged to Apply
• Experienced Operations Associate
• Hours: Monday – Friday; 6am – 2pm

Credit Manager/Compliance Analyst

Mischler Financial Group, INC.

Corona del Mar, CA 92625

Benefits

· 401(k)

· Medical

· Dental

· Vision

· Life Insurance

· Employee Assistance Program (EAP)

Title: Credit Manager/Compliance Analyst

Status: Exempt, Full Time – In-office position

Location: Corona del Mar, CA 92625

Reports To: Chief Compliance Officer

General Description: Established in 1994, Mischler Financial Group, Inc. (MFG) is the securities industry’s oldest diversity-certified broker-dealer that is owned and operated by service-disabled veterans (SDV). Our core competencies include investment banking and underwriting services for primary debt and equity capital market transactions. Our mission is to preserve and protect the interests of those that we serve. We leave no client behind.

Essential Duties and Responsibilities: MFG is seeking a detail-oriented Credit Manager/Compliance Analyst to join our firm. In this role, you will assess potential clients’ creditworthiness, conduct reviews of existing customers, and develop enhanced procedures for assessing risk. Additional responsibilities may include trade surveillance, new account on-boarding, and CAT (Consolidated Audit Trial) and CAIS (Customer and Account Information System) reporting.

The ideal candidate will understand regulatory requirements, and trade surveillance, and have experience with account onboarding procedures including credit assessment.

Credit Manager Responsibilities:

1. Assess the creditworthiness of new and existing customers by analyzing financial statements, credit reports, and other relevant information.

2. Monitor and review customer credit accounts regularly to identify potential risks or credit limit adjustments.

3. Develop and implement credit risk management strategies and policies.

4. Identify and analyze trends and patterns related to credit risk and provide recommendations for mitigating potential risks.

Compliance Analyst Responsibilities:

1. Trade Surveillance: Conduct comprehensive trade surveillance activities to monitor and detect potential violations of regulatory requirements, market abuse, and insider trading. Utilize advanced surveillance tools to analyze trading activity and identify suspicious patterns or anomalies.

2. CAT Reporting: Generate and submit accurate and timely CAT reports. Collaborate with third party service providers to ensure data accuracy, completeness, and integrity.

3. CAIS Reporting: Prepare and upload new accounts to the service provider portal for transfer to the FINRA website. Validate accuracy of information reported.

Position Requirements:

1. Required FINRA licenses: SIE, 7, and 63

2. Optional FINRA licenses: 24 and 14

3. Proficiency in:

o Microsoft Excel

o Word

o Outlook

o CAT and CAIS

o Access

o Instinet, Bloomberg TOMS & CMGR

4. Excellent verbal and written communication skills.

5. Ability to respond promptly, organize tasks, manage time, and prioritize requests.

6. Attention to detail and follow-through skills.

Qualifications:

1. Bachelor's degree in finance, business administration, or a related field.

2. Advanced degree or professional certification preferred but not required.

3. Minimum of 5 years of experience in credit monitoring and compliance roles within the broker-dealer industry or financial services sector.

4. Comprehensive knowledge of securities regulations, including SEC, FINRA, CAT, CAIS, and margin reporting requirements.

5. Excellent analytical skills with the ability to interpret complex data sets and identify trends, patterns, and anomalies.

6. Ability to work independently and collaboratively in a fast-paced and dynamic environment, with a commitment to professionalism, integrity, and ethical conduct.

Salary: Range $75K to $90K based on experience.

Job Type: Full-time

Pay: $75,000.00 - $90,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Schedule:

• 8 hour shift
• Monday to Friday

Experience:

• Microsoft Excel: 4 years (Required)
• Microsoft Office: 3 years (Required)
• Data entry, Access, Bloomberg TOMS: 3 years (Required)
• Microsoft Word: 3 years (Required)
• credit monitoring, compliance roles in financial services: 5 years (Required)

Work Location: In person