Ethics & Compliance Programs Specialist

District Partners Llc; Independence Township (OH); Vor Ort; USD 60.000 - 95.000; Vollzeit

Zusammenfassung

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.

Qualifikationen

• 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.

Aufgaben

• 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.

Kenntnisse

Compliance

Regulatory knowledge

Analytical skills

Communication

Multitasking

Team player

Data extraction

Data privacy

Tools

MyComplianceOffice (MCO)

Smarsh

Microsoft Office

AI agents

Jobbeschreibung

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.