Compliance Specialist

Compliance SpecialistMoneta 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 ResponsibilitiesFacilitates detailed analysis and preparation of client engagement agreements, as well as reviewing logged information and assisting advisor teams as neededResponsible for the execution of daily compliance-related tasks, including the review and approval of advisory fees, trade records, and completed custodial formsDevelop thorough outlines of Department processes while seeking opportunities for efficienciesPerforms compliance-related audits, reviews, and data scrubsAssists with supervision of financial advisors, including correspondence, marketing, technology use, and outside business activitiesTakes ownership of assigned responsibilities and executes independently while collaborating and openly communicating with colleaguesAssist with maintenance of the Moneta policies and procedures manualSupports the Compliance Team with various projects as requiredQualificationsBachelor's Degree preferredThree or more years of experience in a professional office environmentExperience in operations, registrations, or compliance department of a registered investment adviserAdditional informationThis 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 holidaysPaid time off (PTO)Employer cost-shared medical and dental insuranceEmployer-paid short-term disability, long-term disability, AD&D insurance, and basic life insurance401k Match – 50% of employee contributions up to 6% of compensationDiscretionary annual profit-sharing bonusPaid parental leaveProfessional development reimbursementPaid volunteer time off (VTO)Employee referral incentive bonus programOnsite wellness programs & rewardsEmployee engagement activitiesMoneta 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. Moneta Corporation