Compliance Specialist - Ethics & Risk Programs

District Partners Llc; Independence (MO); On-site; USD 60,000 - 90,000; Full time

Job summary

District Partners LLC, a national advisory firm, seeks a Compliance Specialist to join the Compliance Team and assist the Chief Compliance Officer in supporting the firm’s comprehensive compliance program. You will co-administer the Code of Ethics, monitor employee trading, review reports, assist with exams, and help update policies and training materials.

The role requires at least 3 years in administration, operations, or compliance, experience with MCO and Smarsh, and strong analytical and

Qualifications

• 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.

Responsibilities

• 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.
• Assist in preparing RFP responses and compliance questionnaires for client due diligence.
• 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.

Skills

Multitasking

Regulatory knowledge

Data analysis

Tools

MCO

Smarsh

Microsoft Office

Job description

District Partners LLC, a national advisory firm, seeks a Compliance Specialist to join the Compliance Team and assist the Chief Compliance Officer in supporting the firm’s comprehensive compliance program. You will co-administer the Code of Ethics, monitor employee trading, review reports, assist with exams, and help update policies and training materials.

The role requires at least 3 years in administration, operations, or compliance, experience with MCO and Smarsh, and strong analytical and