Compliance Specialist

District Partners Llc; Independence Township (OH); On-site; USD 60,000 - 95,000; Full time

Job summary

District Partners Llc is seeking a Compliance Administrator to lead and support the firm's ethics and regulatory program in Ohio. You will monitor employee trading, review personal accounts, assist with exams, and guide gifts, contributions, and outside activities.

You will collaborate across Legal, Marketing, and Operations, administer training, and help implement policy updates while leveraging MCO, Smarsh, and Microsoft Office tools. A proactive, data-driven approach is essential.

Qualifications

• Minimum 3+ years in administration, operations, or compliance (SEC registered adviser preferred).
• Experience with MCO, Smarsh, and Microsoft Office applications.
• Significant experience using Artificial Intelligence agents.
• Able to multitask, prioritize, and meet deadlines in a fast-paced environment.
• Strong written and verbal communication with client confidentiality focus.

Responsibilities

• Co-administer the Code of Ethics by monitoring employee trading and reviewing personal accounts.
• Review compliance reports, findings, and potential violations.
• Support the internal office exam program by preparing materials and traveling to offices.
• Provide guidance on gifts, political contributions, and outside business activities.
• Conduct surveillance and forensic testing, including reviews and best execution assessments.
• Administer off-channel and personal device reviews and escalate 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 MyComplianceOffice (MCO).
• Provide training to new employees and maintain training records.
• Support Regulation S-ID Identity Theft Prevention Program.
• Stay current on regulatory changes and implement updates.
• Collaborate with Legal, Marketing, and Operations.
• Assist in preparing and updating policies and procedures.
• Participate in key projects and process improvements.
• Assist with special projects assigned to Compliance Department.
• Perform other duties to support the compliance program.

Skills

Compliance

Regulatory knowledge

Analytical skills

Communication

Multitasking

Team player

Data extraction

Data privacy

Tools

MyComplianceOffice (MCO)

Smarsh

Microsoft Office

AI agents

Job description

What You'll be Owning:

• Co-administer the Code of Ethics by monitoring employee trading, reviewing personal accounts, and managing certifications.
• Review compliance reports, findings, and potential violations.
• Support the internal office exam program by preparing materials, reviewing documents, and traveling 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, as necessary.
• 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.
• Stay current on regulatory changes and implement required updates across the firm.
• Collaborate with departments such as Legal, Marketing, and Operations.
• Assist in preparing and updating policies and procedures.
• Participate in key projects and support process improvements.
• Assist with special projects assigned to the Compliance Department.
• Perform other duties as needed to support the compliance program.

What You'll Bring to the Table:

• A minimum of 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.
• Ability to multitask, prioritize, and meet deadlines in a fast-paced environment.
• Team-oriented with a proactive and professional approach.
• Ability to understand regulations and apply them effectively in a business context.
• Skilled at using and adjusting to different software technologies.
• Strong analytical, interpersonal, verbal, and written communication skills.
• Commitment to maintaining client confidentiality, safeguarding data, and upholding high ethical standards.
• The capability to extract and analyze data from different systems.
• Professional demeanor, strong work ethic, and high personal integrity.