Compliance Specialist

Job Description

Job Description

Company Description

MONETA is a national Registered Investment Advisory Firm based in St. Louis, Missouri. We are dedicated to providing quality service to our clients, encompassing investment and retirement planning, tax preparation, risk management, estate planning review, education savings and much more.

We strive to provide a challenging and rewarding environment where our employees experience consistent growth, training, and development opportunities throughout their career.

Like the high value we place on our client relationships, Moneta values our firm's endless talent and we look forward to meeting with you to begin your thriving career with us.

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
• Responsible for the execution of daily compliance related tasks, including the review and approval of advisory fees, trade memos, and custodial paperwork
• Completes quarterly reviews of employees’ securities transactions and compiles appropriate reporting
• Develops thorough outlines of Department processes while seeking opportunities for efficiencies
• Performs compliance related audits, reviews and data scrubs
• Assists with the registration of employees and the filing of required documents with the Securities and Exchange Commission and other regulatory agencies
• 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
• Understands and reinforces the Department’s mission in all actions : We seek to understand and ensure compliance requirements are well explained in every interaction
• Supports the Compliance Team with various projects as required
• Maintain department process and procedure manual

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 advisor

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 wellbeing 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 certain outside business activities, insurance commissions and / or trails.