Compliance Analyst
About the job
- A bachelor's degree with a strong record of academic achievement is required.
- At least 3 years of compliance experience in the financial industry or a related field is required.
- Active SIE, Series 7, 24, and 63 or 66 licenses are required, or the required licenses must be attained within the first year.
- Strong communication and organizational skills and high attention to detail are required.
- The candidate must be able to adapt to a changing regulatory environment and address competing or conflicting demands.
- The candidate must demonstrate strategic problem-solving, collaboration, innovation, effective team function, and high standards of personal and professional integrity and ethics.
- Support maintenance of Compliance Programs, including procedure updates, process implementation, annual assessments, review of exceptions, and training.
- Stay current on industry trends and changes to regulations and legislation, evaluate potential impacts, and assist with updating compliance programs.
- Assist with compliance reporting, risk assessments, annual reviews, and vendor reviews.
- Support the review, monitoring, and filing of regulatory disclosures, including SEC and FINRA filings.
- Maintain and oversee communications-related policies and procedures.
- Serve as the primary liaison between Marketing and Compliance, and review and approve marketing materials, Requests for Information, and Requests for Proposal.
- Administer and perform electronic communications surveillance and maintain related policies and procedures.
- Support routine supervision of sales practice policies and procedures.
- Conduct branch office audits and support internal and external regulatory examinations.
- Participate in Compliance Department meetings, training, and cross-training initiatives.
- Assist with product and corporate initiatives and other projects as needed.
About the company
Manning & Napier provides wealth and investment management for individuals, families, and organizations, and also supports financial professionals and institutions. It blends asset management with financial planning, offering personalized guidance and a long-term investment approach to help clients manage their financial lives. The firm differentiates itself by prioritizing what’s best for clients over market trends and delivering a relationship-driven, integrated service for both personal and institutional clients. Its goal is to help clients build brighter financial futures through clear guidance and steady, long-term investment perspectives.
Company Size
201-500
Company Stage
IPO
Headquarters
Town of Perinton, New York
Founded
1970
Get referred to Manning & Napier
See people who can refer or advise you
Simplify's Take
What believers are saying
- Abacus reported a live referral channel and LifeARC rollout by August 6, 2026.
- Manning & Napier gained distribution for Abacus ETFs, longevity funds, and asset-based finance strategies.
- SEC filings in July 2026 launched a new BDC ETF using Manning & Napier as advisor.
What critics are saying
- Abacus's $52.9 million stake ties growth to one partner's referral engine.
- SEC filed October 2, 2026 relief for subadvisers signals governance and fee pressure.
- If Abacus referrals disappoint by 2027, Manning & Napier loses strategic differentiation and bargaining power.
What makes Manning & Napier unique
- Manning & Napier paired with Abacus on May 27, 2026, adding longevity analytics to planning.
- Its 2026 SEC filings show $17.0 billion AUM and 55-year-old bottom-up discipline.
- The firm now combines advisory, asset management, and model distribution across 3,400 clients.
Help us improve and share your feedback! Did you find this helpful?
Benefits
Health Insurance
Dental Insurance
Vision Insurance
401(k) Company Match
Health Savings Account/Flexible Spending Account
Gym Membership
Growth & Insights and Company News
6 month growth
-2%1 year growth
-3%2 year growth
-3%Callodine Group has launched Callodine Wealth Solutions, rebranding and expanding Manning & Napier's intermediary sales team that serves third-party financial advisors. The platform will provide advisors access to investment capabilities across Callodine's entire range of public and private market strategies. The launch includes hiring four experienced professionals to strengthen nationwide advisor support: Kimberly Anderson as vice president of national accounts, and Carey Robinson, Todd Brewer, and Darren Beurer as vice presidents covering the West Coast, Great Lakes, and New England regions respectively. Callodine Group manages over $20 billion in assets across affiliated advisers. Manning & Napier, founded in 1970 and headquartered in Fairport, New York, was acquired by Callodine Group in 2022.
Brittany Buffington | Manning & Napier. August 31, 2026// Brittany Buffington, Financial Consultant, Manning & Napier Brittany Buffington, CFP(R), has returned to Manning & Napier as a Financial Consultant after beginning her career here in 2005. With more than 20 years in financial services, she's passionate about guiding individuals and families through the financial planning process and building the trusted, responsive relationships that come with it. Announce your new employees, promotions, board positions, community notes and leaders in your organization to the Rochester Business Journal's influential audience. The information in the Movers & Shakers section is provided by the submitter.
Abacus Global Management has completed its acquisition of a minority stake in Manning & Napier for $52.9 million. The deal, which was announced on 12 March 2026 and closed on 27 May 2026, forms part of a strategic alliance between the two firms. Dynasty Financial Partners served as financial adviser to Abacus, with Latham & Watkins providing legal counsel. Berkshire Global Advisors and Morgan, Lewis & Bockius advised Manning & Napier on the transaction. The acquisition required customary regulatory approvals before completion. The exact size of the minority stake was not disclosed.
Abacus Global Management has made a $53 million strategic investment in Manning & Napier, a 50-year-old asset management firm with $18 billion in assets and over 3,400 retail accounts. CEO Jay Jackson said the partnership strengthens Abacus's growth strategy by creating synergies between the companies. Manning & Napier will provide a direct pipeline into Abacus's life solutions division, which acquires and manages life insurance policies. In return, Abacus can refer clients seeking financial guidance to Manning & Napier, whilst Manning & Napier can offer its clients Abacus's alternative investment funds. Jackson emphasised the importance of partnering with a firm sharing similar values and client-first principles. The deal is additive to Abacus's existing business model rather than a pivot, and could serve as a template for future partnerships.
Abacus Global Management has agreed to acquire a $53 million minority stake in wealth and asset manager Manning & Napier, which oversees $18 billion in assets for approximately 3,400 clients. The transaction is expected to close in the second quarter of 2026. The deal includes a strategic alliance enabling Manning & Napier to distribute Abacus Asset Group products, including ETFs and longevity funds, to its clients. Abacus will refer some of the 10,000 monthly customer leads from its Life Solutions platform to Manning & Napier's advisory services. The companies will jointly develop lifespan-based financial planning products combining Abacus's LifeARC longevity data platform with Manning & Napier's planning infrastructure. Manning & Napier will maintain independent operations. Abacus reported 2025 revenue rose 110% year-over-year to $235.2 million.