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Compliance Oversight & Personal Securities Specialist

Account Management | Rochester, NY | Full-Time

Manning & Napier is headquartered in Fairport, NY with regional offices in St. Petersburg, FL, Columbus OH and Seattle, WA. Founded in 1970, we provide a broad range of investment solutions, as well as a variety of consultative services that complement our investment process. We serve a diversified client base of high-net-worth individuals and institutions, including 401(k) plans, pension plans, Taft-Hartley plans, endowments and foundations. For many of these clients, the relationship goes beyond investment management, and includes customized solutions that address key issues and solve client-specific problems. We are currently recruiting for an individual to join our Account Management team.


  • Review Portfolios for Compliance with client signed guidelines
  • Review the set-up and coding of all new accounts
  • Review the set-up and coding of all investment objective or restriction changes to portfolios
  • Conduct Quarterly Audits of the Social Screens
  • Personal Securities Approval
  • Provide back up to Account Managers in the event of absences and heavy workload
  • Audit and approve other transactions posted to clients accounts to ensure accuracy 


  • Bachelor’s Degree required, with a record of academic achievement
  • 1-3 years relevant investment management and personal securities experience
  • High attention to detail
  • Strong organization and prioritization skills

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