MONECO Advisors, LLC (Fairfield, CT) Seeking Chief Compliance Officer

MONECO Advisors, LLC (Fairfield, CT) Seeking Chief Compliance Officer

September 15, 2023

If you would like to know a bit more about this opportunity, or are considering applying, then please read the following job information.

MONECO Advisors is a holistic financial services firm headquartered in Fairfield, CT with offices in CT, NJ and RI offering a wide range of financial planning solutions.

The firm takes a modern approach to the finance industry and its success is rooted in its strong culture. MONECO advises on over $1.

7 billion in assets for approximately 2,500 client families. MONECO is looking for energetic individuals who will bring a fresh perspective and innovative touch to a traditional concept.

The CCO is responsible for all compliance and supervisory functions while being a liaison for the firm leaders and may designate other individuals for compliance assistance, such as maintaining logs, compliance research, etc.

This role will serve as a key contributor to MONECO’s growth and influence business processes and activities.

Responsibilities :

• Continually review, enhance, and structure the MONECO compliance program to ensure compliance with applicable regulatory requirements and adaptation of MONECO business, both current and future.
• Effectively identify, communicate, escalate and resolve compliance matters as appropriate.
• Monitor for and analyze proposed and current regulatory requirements and interpretations that impact or may impact MONECO.
• Oversee third-party compliance service provider’s tests of MONECO’s compliance policies and procedures.
• Oversee third-party IT provider to adhere to MONECO’s Cybersecurity policies and identify gaps and implement corrective action, as necessary.
• Manage internal review of marketing, advertising, and client service-related materials for compliance with regulatory requirements.
• Maintain oversight of portfolio trading and investment activity against investment guidelines, restrictions, disclosures, and regulatory requirements.
• Provide training on regulatory and compliance related matters and requirements; oversee the preparation of regulatory filings.
• Manage SEC and branch examinations, and lead responses to any regulatory inquiries or requests.
• Be a superuser of the Orion Compliance program.
• Responsible for leadership, development, mentoring and team building among the compliance department and vendors.

Requirements :

• 10+ years of general compliance experience, with most recent experience being with an RIA firm $2B or larger.
• Experience overseeing SEC and other regulatory exams, as well as working with broker dealer examiners.
• IARD System knowledge.
• Experience updating ADV / U4 and Policy Procedures.
• Experience in managing, testing, monitoring and oversight of compliance policies.
• Experience managing a team.
• Previous FINRA / BD experience, including a Series 24, preferred.
• Experience in working with firms who have been active in adding advisors and conducting M&A, preferred.
• Industry conference speaker or panelist experience, a plus.

Salary and Benefits :

Competitive salary and compensation (based on experience).

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