Compliance Analyst

Compliance Analyst

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. Our Partner-led teams are empowered to serve only in the best interest of their clients. Plus, our independence means that we are never beholden to stakeholders or parent companies. We also have the unique ability to trace our history back nearly 150 years, demonstrating our ability to evolve to meet the needs of those we serve.

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

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 :

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.