Compliance Operations & Training Specialist

MAI Capital Management; Independence Township (OH); On-site; USD 65,000 - 90,000; Full time

Job summary

MAI Capital Management, located in Independence Township, Ohio, seeks a Compliance Coordinator to support the Chief Compliance Officer and the compliance team. The role focuses on administering ethics programs, monitoring trading, reviewing reports, and assisting with policy updates.

You will help with surveillance, gifts and conflicts review, training, and implementation of regulatory changes across the firm, collaborating with Legal, Marketing, and Operations.

Qualifications

• 3+ years of experience in administration, operations, or compliance, preferably within an SEC registered investment adviser.
• Experience with systems such as MCO, Smarsh, and Microsoft Office applications.
• Significant experience using Artificial Intelligence agents.

Responsibilities

• Co-administer the Code of Ethics by monitoring employee trading and certifications.
• Review compliance reports, findings, and potential violations.
• Prepare materials and support the internal office exam program; travel to office locations as needed.
• Provide guidance on gifts and entertainment, political contributions, and outside business activities.
• Conduct surveillance and forensic testing, including trading reviews, billing checks, and assessments of best execution practices.
• Administer the off-channel and personal device communications reviews, escalating exceptions.
• Support compliance applications for monitoring email, social media, and other communications; provide QA metrics and assist with annual certification.
• Serve as co-administrator for compliance platforms such as MyComplianceOffice (MCO).
• Provide training to new employees, administer annual risk and compliance training, maintain training records, and report any violations.
• Support the Regulation S-ID Identity Theft Prevention Program.

Skills

MCO

Smarsh

MS Office

AI agents

Tools

MyComplianceOffice (MCO)

Smarsh

Microsoft Office

Job description

MAI Capital Management, located in Independence Township, Ohio, seeks a Compliance Coordinator to support the Chief Compliance Officer and the compliance team. The role focuses on administering ethics programs, monitoring trading, reviewing reports, and assisting with policy updates.

You will help with surveillance, gifts and conflicts review, training, and implementation of regulatory changes across the firm, collaborating with Legal, Marketing, and Operations.