Compliance & AML Specialist - Wealth Management

Moran Wealth Management®; Naples (FL); On-site; USD 70,000 - 110,000; Full time

Benefits offered by this job

Competitive salary

Comprehensive health, dental, and vision insurance

Retirement savings plan with employer contributions

Paid parental leave

Professional development opportunities

Educational reimbursement plan

Employee wellness programs

Job summary

A Registered Investment Advisory firm in Naples, Florida, is seeking a Compliance Associate to enhance their compliance efforts. The role requires 3-5 years of experience in compliance or operations and offers a competitive salary along with comprehensive benefits. The ideal candidate will demonstrate strong attention to detail, possess excellent communication skills, and have a proactive approach to problem-solving. The firm emphasizes a supportive environment conducive to professional growth and success.

Qualifications

• 3-5 years of experience in compliance, operations, or risk management within a financial institution.
• Internship or coursework related to financial regulation preferred.
• Interest in pursuing the IACCP® designation is a plus.

Responsibilities

• Assist in implementing and maintaining Compliance Policies and Procedures.
• Conduct routine testing and surveillance of compliance areas.
• Perform AML reviews and manage money movements.
• Help document findings and maintain compliance evidence.
• Support vendor management and due diligence.

Skills

Attention to detail

Written communication

Verbal communication

Regulatory knowledge

Microsoft Office

Problem-solving

Education

Bachelor’s degree (Finance, Business, Accounting, Economics)

Tools

Smarsh

Advisor Engine CRM

Black Diamond

COMPLY

Job description

A Registered Investment Advisory firm in Naples, Florida, is seeking a Compliance Associate to enhance their compliance efforts. The role requires 3-5 years of experience in compliance or operations and offers a competitive salary along with comprehensive benefits. The ideal candidate will demonstrate strong attention to detail, possess excellent communication skills, and have a proactive approach to problem-solving. The firm emphasizes a supportive environment conducive to professional growth and success.