Compliance Analyst
Compliance Analyst
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
We are seeking a detail-oriented and analytical Compliance Analyst to support the oversight of trading activity trade execution practices and investment suitability across our investment platforms. This role plays a critical part in ensuring compliance with SEC and other regulatory requirements as well as internal policies and procedures related to best execution and client suitability.
Essential Responsibilities
- Trade Surveillance & Monitoring: Conduct daily reviews of trade activity to identify anomalies errors and potential violations; ensure adherence to best execution standards and equitable treatment across client accounts.
- Issue Investigation & Risk Mitigation: Investigate escalations trade errors and execution outliers; identify gaps in compliance processes and recommend improvements to internal controls and oversight procedures.
- Investment Suitability Oversight: Evaluate client investment profiles risk tolerances and objectives to ensure product and strategy alignment; assess complex securities and oversee share class selection and related fees.
- Due Diligence & Product Review: Ensure due diligence is performed on investment products including suitability associated risks and regulatory considerations.
- Compliance Program Support: Contribute to the development maintenance and enforcement of trading and investment-related compliance policies; remain current on evolving regulatory requirements.
- Reporting & Documentation: Generate and maintain reports dashboards and records related to surveillance findings exceptions and resolutions using compliance platforms such as My Compliance Office (MCO).
- Collaboration & Advisory Support: Partner with trading investment operations and advisory teams to resolve issues implement controls and provide guidance on trade practices and product approvals.
- Regulatory Support & Examinations: Assist with regulatory exams audits and internal reviews by preparing documentation and supporting the Chief Compliance Officer and broader compliance team.
Qualifications :
- Bachelors degree in Finance Economics Business or related field.
- 4 years of experience in compliance trading oversight or investment operations in a financial services firm.
- Strong knowledge of securities regulations especially related to trading and client suitability.
- Experience with making regulatory filings on IARD and conducting compliance testing.
- Proficiency in Excel; experience with data analytics tools is a plus.
- Experience at an RIA broker-dealer or asset management firm.
- Working knowledge of performance reporting fee billing and portfolio management systems.
- Must be authorized to work in the United States
Additional Information :
Moneta is committed to providing the best possible care for our employees; part of this care includes offering comprehensive benefits that enhance the well-being of employees and their families:
- Paid holidays
- Paid time off (PTO)
- Employer cost-shared medical and dental insurance
- Employer-paid short-term disability long-term disability AD&D insurance and basic life insurance
- 401k Match 50% of employee contributions up to 6% of compensation
- Discretionary annual profit-sharing bonus
- Paid parental leave
- Professional development reimbursement
- Paid volunteer time off (VTO)
- Employee referral incentive bonus program
- Onsite wellness programs & rewards
- Employee engagement activities
Moneta is a fiduciary fee-only Registered Investment Advisory firm and is unable to hold securities licenses with the exception of Series 65. We also do not allow outside business activities insurance commissions and/or trails.
Remote Work :
No
Employment Type :
Full-time
Employment Type
Full-time
