Compliance Associate

Key ResponsibilitiesCompliance Advisory & Monitoring

• Serve as a trusted resource to clients on regulatory compliance matters and industry best practices.
• Oversee employee compliance activities, including personal securities trading, electronic communications monitoring, restricted list administration, and firm trading surveillance.
• Assist clients in maintaining effective compliance monitoring processes and controls.
• Evaluate compliance-related issues and provide recommendations for resolution and remediation.

Regulatory Filings & Registration Management

• Prepare, review, and submit regulatory filings, including Form ADV, Form 13 filings, and other required disclosures.
• Coordinate and maintain client registrations with regulatory agencies, including the SEC and CFTC.
• Ensure regulatory records, filings, and documentation remain accurate and up to date.

Regulatory Examinations & Compliance Reviews

• Support clients during regulatory examinations, audits, and compliance reviews conducted by the SEC, NFA, state regulators, and other governing bodies.
• Assist with regulatory information requests, document production, and examination preparedness activities.
• Help investigate compliance breaches, document findings, and track corrective actions through completion.
• Promote adherence to client policies, procedures, and regulatory obligations.

Regulatory Intelligence & Marketing Review

• Monitor developments within the regulatory landscape and assess the impact of new rules, guidance, and industry trends on client compliance programs.
• Review marketing, advertising, and investor communications to ensure compliance with the Investment Advisers Act and other applicable regulations.
• Provide guidance to clients regarding regulatory expectations related to communications and promotional materials.

Training & Client Support

• Participate in the development and delivery of compliance training programs for clients and their personnel.
• Support annual compliance education initiatives and awareness programs.
• Maintain strong working relationships with clients, regulators, industry professionals, and internal stakeholders through clear and professional communication.

Quality & Risk Management

• Analyze documentation, data, and regulatory information to support informed compliance decisions.
• Maintain a high standard of accuracy, attention to detail, and quality in all work products.
• Handle sensitive information with discretion while exercising sound judgment and professionalism.
• Contribute to a client-focused environment by balancing multiple assignments and deadlines effectively.

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.