Senior Compliance Analyst: Risk & Regulatory Excellence

MCF; Cincinnati (OH); On-site; USD 90,000 - 130,000; Full time

Job summary

MCF is seeking a Sr. Compliance Analyst to help implement and monitor the firm’s risk-based compliance program, working with the Director of Compliance and Chief Compliance Officer to ensure adherence to applicable regulatory requirements and internal policies.

The role focuses on executing testing, filings, and policy support while maintaining records and assisting with examinations. The position emphasizes reviewing marketing materials for regulatory compliance, sustaining a culture of ethics

Qualifications

• Bachelor’s degree in finance, business, accounting, law, or related field.
• 4–7 years in investment adviser compliance or related regulatory role preferred.
• Experience with SEC-registered investment advisers is strongly preferred.
• Knowledge of the Investment Advisers Act of 1940 and SEC rules.
• Strong written and verbal communication and analytical skills.

Responsibilities

• Execute annual and quarterly compliance testing and monitoring program.
• Maintain testing calendar and document procedures, results, and remediation.
• Support Form ADV filings and related disclosures.
• Review marketing materials for SEC compliance.
• Assist with regulatory examinations and inquiries.
• Maintain accurate compliance records and reporting materials.
• Support training and development of the compliance culture.

Skills

Communication

Analytical thinking

Attention to detail

Integrity

Growth mindset

Technical proficiency

Education

Bachelor’s degree in finance, business, accounting, law, or related field

Tools

CRM systems

Document management systems

Compliance tools

Job description

MCF is seeking a Sr. Compliance Analyst to help implement and monitor the firm’s risk-based compliance program, working with the Director of Compliance and Chief Compliance Officer to ensure adherence to applicable regulatory requirements and internal policies.

The role focuses on executing testing, filings, and policy support while maintaining records and assisting with examinations. The position emphasizes reviewing marketing materials for regulatory compliance, sustaining a culture of ethics