Compliance Specialist
Compliance Specialist
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
Moneta is searching for a Compliance Specialist to join our small dynamic Compliance team handling a wide range of tasks that cover all aspects of Wealth Management Compliance for our fast-paced and rapidly growing registered investment adviser. As a member of the Compliance Department you will work alongside our team of professionals and develop your knowledge of compliance within the financial services industry. This is a great opportunity to work independently within a closely-knit team and grow your skillset to become an expert.
Essential Responsibilities
- Facilitates detailed analysis and preparation of client engagement agreements as well as reviewing logged information and assisting advisor teams as needed
- Responsible for the execution of daily compliance-related tasks including the review and approval of advisory fees trade records and completed custodial forms
- Develop thorough outlines of Department processes while seeking opportunities for efficiencies
- Performs compliance-related audits reviews and data scrubs
- Assists with supervision of financial advisors including correspondence marketing technology use and outside business activities
- Takes ownership of assigned responsibilities and executes independently while collaborating and openly communicating with colleagues
- Assist with maintenance of the Moneta policies and procedures manual
- Supports the Compliance Team with various projects as required
Qualifications :
- Bachelors Degree preferred
- Three or more years of experience in a professional office environment
- Experience in operations registrations or compliance department of a registered investment adviser
Additional Information :
This is a full-time exempt position reporting to the Vice President of Compliance.
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 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
