Analyst/Senior Analyst - Compliance

COMPANY INFORMATION

PineBridge Investments, A MetLife Investment Management company.

MetLife Investment Management (MIM) has successfully acquired PineBridge as of December 30, 2025.

MetLife Investment Management and PineBridge Investments now have more to offer; broader reach,

deeper insights and specialized capabilities – forming a top-tier global investment platform.

Together, we have more than $700 billion in assets under management as of September 2026 and aim to

deliver consistent risk-adjusted returns. From multi-asset, equities, and fixed income to private credit and

real estate, we offer specialized capabilities backed by a broader global reach and regionally grounded

insights tailored to investor needs.

What sets us apart isn’t just the breadth of our platform and capabilities — it’s how we partner. Across both

firms, we share a strong investment culture that prioritizes partnership, transparency and accountability. We

believe that our clients benefit from direct access to decision-makers and reinforced by a culture that views

decisions through the client’s perspective. Join us and experience the excitement of working with the

brightest minds in the industry, shaping the future of asset management.

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 environment 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

ABOUT PINEBRIDGE

PineBridge is proud of our award-winning culture, which reflects our commitment to empowering employees

and fostering a collaborative work environment. For six consecutive years (2020-2025), PineBridge has been

named a ‘Best Place to Work in Money Management’ by Pensions & Investments, a leading industry

designation which recognizes the best employers in the asset management industry by evaluating employer

benefits, policies, and responses to an employee survey. In 2023, PineBridge received Hong Kong Institute for

HR Management Elite awards for ‘Best Workplace’ and ‘Learning & Development’ and in 2024 we received

Merit awards for ‘Talent Acquisition’ and ‘Employee Benefits.’ Alongside this, in 2023 and 2024 PineBridge

was recognized as a finalist at the 100 Women in Finance’s APAC Industry Diversity, Equity & Inclusion Award.

Our benefits: We offer a wide range of family friendly benefits including comprehensive healthcare, back- up

childcare program to support working parents and flexible work arrangements so you can be there for the

people you care about. We also provide a competitive retirement plan and tuition reimbursement.

Furthermore, we have a robust list of professional development opportunities with the goal of engaging,

retaining, and developing our talent.

Our values: We value our clients, investment excellence, collaboration with our distributed team members,

empowerment, and independence as we honor our heritage and our roots.

PineBridge is proud to be an Equal Opportunity Employer committed to fostering an inclusive workplace,

providing opportunities for all qualified persons and maintaining an environment free from all forms of

harassment and discrimination for its employees. PineBridge is dedicated to recruiting, hiring, training and

promoting into all job levels the most qualified applicants without regard to actual or perceived age, race,

creed, color, religion, national origin, ancestry, height, weight, sex, gender (including gender identity),

disability, pregnancy, marital status, domestic partner status, sexual orientation, AIDS/HIV status, military

status, alienage or citizenship status, genetic information, domestic violence victim status or any other basis

protected by applicable federal, state or local laws. At PineBridge, we strive to create an inclusive environment

that attracts, retains, and develops the best global talent, leveraging the unique backgrounds, skills, and

perspectives that all our people bring to work.