Compliance & Risk Operations Specialist

ADP, Inc.; Independence Township (OH); On-site; USD 58,000 - 72,000; Full time

Job summary

ADP, Inc. in Independence, OH is seeking a Compliance Specialist to support the Chief Compliance Officer and the compliance team. The role focuses on monitoring the Code of Ethics, reviewing reports, supporting the exam program, and ensuring regulatory compliance.

You will collaborate with Legal, Marketing, and Operations; provide training; manage compliance platforms like MyComplianceOffice; and contribute to risk assessments and policy updates.

Qualifications

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

Responsibilities

• Co-administer the Code of Ethics by monitoring employee trading and accounts.
• Review compliance reports, findings, and potential violations.
• Support internal office exam program; prepare materials and travel as needed.
• Provide guidance on gifts, entertainment, political contributions, and outside activities.
• Conduct surveillance and forensic testing, including trading reviews and best execution tests.
• Administer off-channel and personal device reviews; escalate exceptions.
• Support monitoring for emails, social media, and other communications; QA metrics.
• Co-administer compliance platforms such as MCO.
• Provide training to new employees and maintain training records.

Skills

Multitasking

Teamwork

Regulatory compliance

Software adaptability

Data extraction

Communication

Integrity

Confidentiality

Tools

MyComplianceOffice (MCO)

Smarsh

Microsoft Office

Job description

ADP, Inc. in Independence, OH is seeking a Compliance Specialist to support the Chief Compliance Officer and the compliance team. The role focuses on monitoring the Code of Ethics, reviewing reports, supporting the exam program, and ensuring regulatory compliance.

You will collaborate with Legal, Marketing, and Operations; provide training; manage compliance platforms like MyComplianceOffice; and contribute to risk assessments and policy updates.