Compliance Associate

Employee Compliance & Code of Ethics

• Support the administration and ongoing oversight of the firm's Code of Ethics program.
• Manage employee certifications, disclosures, and annual attestation processes.
• Review and monitor personal trading activity, outside business interests, private investment activities, and gifts and entertainment reporting.
• Escalate potential compliance concerns and assist with issue resolution.
• Help maintain and enhance employee compliance policies to reflect evolving regulatory expectations and business needs.

Compliance Monitoring & Surveillance

• Conduct periodic compliance reviews and testing of supervisory controls and compliance program effectiveness.
• Perform surveillance of discretionary account activity, trade allocations, commission practices, and best execution requirements.
• Investigate exception reports, compliance alerts, and monitoring results.
• Assist with day-to-day compliance operations and ongoing monitoring activities.

Regulatory Filings & Compliance Program Administration

• Assist with the maintenance and enhancement of compliance manuals, supervisory procedures, and departmental documentation.
• Prepare and update regulatory filings and disclosure documents, including Form ADV, Form BD, and Form CRS.
• Track regulatory developments and assess their impact on existing compliance policies, procedures, and controls.
• Support implementation of regulatory changes and process improvements across the compliance function.

Regulatory Exams, Training & Projects

• Coordinate compliance training programs and continuing education requirements for employees.
• Assist in the preparation for SEC and FINRA examinations, audits, and regulatory inquiries.
• Manage regulatory information requests and support examination response efforts.
• Participate in firm-wide initiatives and special projects requiring compliance expertise.
• Collaborate with business partners across operations, trading, finance, and other functional areas to promote a strong culture of compliance.

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.

Gain hands-on SEC & FINRA compliance experience at a respected firm.Partner with senior leaders on audits, filings, and key projects.

Qualifications

• SIE and Series 7 licenses required; Series 24 preferred.
• 3-5 years of compliance experience within an SEC-registered investment adviser, broker-dealer, or dual-registered firm.
• Familiarity with trade surveillance, compliance monitoring, and regulatory reporting systems.
• Strong analytical, organizational, and problem-solving capabilities.
• Excellent written and verbal communication skills with the ability to explain regulatory concepts clearly.
• Ability to manage multiple priorities, meet deadlines, and maintain a high level of accuracy in a fast-paced environment.

A company operating in the financial services industry, based in New York.

• Competitive salary ranging from $130,000 to $150,000 USD annually.

Interested? Apply today.