Compliance Specialist

Compliance Specialist

Moneta is an independent Registered Investment Advisor (RIA) wholly focused on going further for our clients. We are one firm with many solutions and we provide a full spectrum of financial advisory services. Still, our true purpose is centered on building relationships and providing exceptional service to our clients around the globe. For that reason, we've built an entrepreneurial business model organized around our clients. We also have the unique ability to trace our history back nearly 150 years, which demonstrates our ability to evolve to meet the needs of those we serve.

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

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 :

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.