Compliance Specialist

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