Compliance Specialist

MAI Wealth Management, Inc. • Independence, OH

66d

About The Position

This position will work with the Chief Compliance Officer (CCO) and the rest of the Compliance Team to support activities within the compliance department. The activities will support the comprehensive compliance program and will vary.

Requirements

• A minimum of 3+ years of experience in administration, operations, or compliance, preferably within a registered investment adviser.
• Knowledge of and experience with systems such as MCO, Smarsh, and Microsoft Office applications. Add Salesforce, Excel Pivot Tables.
• Ability to extrapolate data from various systems for analyses.

Responsibilities

• Co-administer the Code of Ethics, which includes monitoring employee trading, conducting personal account reviews, and managing certifications.
• Evaluate compliance reports, findings, and potential violations.
• Assist with regulatory filings, including updates to Forms ADV2Bs.
• Support the internal office exam program by preparing materials, reviewing documents, and occasionally traveling to office locations to assist with examinations.
• Provide guidance on matters related to OFAC, gifts and entertainment, political contributions, and outside business activities.
• Stay informed about regulatory changes and implement necessary updates across the firm.
• Conduct surveillance and forensic testing, including trading reviews, billing checks, and assessments of best execution practices.
• Support compliance applications that manage the surveillance of email, social media, and other forms of communication.
• Serve as a co-administrator for compliance platforms, such as MyComplianceOffice (MCO).
• Conduct compliance training for new hires and facilitate annual firmwide training sessions.
• Collaborate with other departments, including Legal, Marketing, and Operations.
• Assist in drafting and updating policies and procedures.
• Aid in preparing RFP responses and compliance questionnaires for client due diligence.
• Maintain meeting notes and schedule committee meetings.
• Participate in high priority projects and contribute to process improvements.
• Assist with special projects assigned to the Compliance Department.
• Perform any additional functions necessary to support the compliance program.

Benefits

• Discretionary Bonus
• Medical Insurance
• Dental Insurance
• Vision Insurance
• 401(k)
• Health Savings Account
• Paid Maternity Leave
• Paid Parental Leave
• Tuition Reimbursement

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 501-1,000 employees