Compliance Specialist

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
• Bachelor’s 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.