Compliance Associate

Key ResponsibilitiesMarketing, Communications & Regulatory Oversight

• Review marketing materials, investor communications, and promotional content to verify compliance with SEC and FINRA requirements.
• Perform supervisory approval and oversight of marketing materials upon obtaining the appropriate licensing credentials.
• Monitor inbound and outbound communications across various channels and maintain documentation supporting compliance reviews.
• Oversee electronic communication surveillance activities, including maintenance of monitoring parameters, keyword libraries, and review protocols.

Employee Compliance & Monitoring

• Administer employee compliance programs through designated compliance systems and tools.
• Monitor personal securities transactions, outside business activities, political contribution disclosures, gifts and entertainment reporting, and other employee compliance obligations.
• Investigate exceptions and escalate potential compliance concerns as appropriate.
• Respond to employee inquiries regarding firm policies and regulatory requirements.

Regulatory Filings & Registration Management

• Support regulatory filing processes, including the preparation, review, and submission of required forms and disclosures.
• Assist with maintaining broker-dealer registrations and associated regulatory records.
• Coordinate registration-related activities, licensing requirements, and continuing education obligations for registered personnel.
• Maintain accurate compliance records and documentation in accordance with regulatory standards.

Compliance Testing & Program Administration

• Participate in annual compliance reviews and testing designed to assess the effectiveness of the firm's compliance and supervisory programs.
• Assist with regulatory risk assessments, monitoring activities, and control evaluations.
• Support the development, maintenance, and enhancement of compliance policies, procedures, and internal controls.
• Contribute to ongoing compliance initiatives and process improvement efforts.

Anti-Money Laundering & Financial Crime Compliance

• Support anti-money laundering compliance activities across the advisory and broker-dealer businesses.
• Conduct OFAC screening, Know Your Customer (KYC) reviews, and related due diligence procedures.
• Assist in identifying, investigating, and escalating potentially suspicious activity.
• Help maintain compliance with applicable AML and financial crimes regulations.

Regulatory Examinations, Training & Cross-Functional Support

• Assist in coordinating responses to regulatory examinations, audits, and information requests from internal and external parties.
• Deliver compliance training programs and onboarding sessions for employees.
• Partner with teams across marketing, portfolio management, operations, risk, and other business functions to support regulatory compliance initiatives.
• Participate in special projects and perform additional compliance-related responsibilities as needed.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.