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:
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