Compliance Associate

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

Holiday leave

Parental leave

Professional development

Educational reimbursement

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.
• Collect and review SOC reports, cybersecurity questionnaires, and insurance certificates.
• Track vendor renewal dates, documentation, and risk ratings in the compliance system.
• Conduct Smarsh reviews of employee emails, social media, and electronic communications.
• Maintain logs of reviewed correspondence and document resolutions per recordkeeping requirements.
• Assist in review and archiving of marketing materials for SEC Rule 206(4)-1 compliance.
• Ensure disclosures and data presentation are consistent across materials.

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

Job Summary

Moran Wealth Management, LLC is a Registered Investment Advisory firm delivering comprehensive, bespoke solutions designed to meet the unique wealth management needs of clients. We take pride in our ability to foster long-term relationships built on trust, transparency, and a commitment to financial excellence. As we expand our team, we are looking for a Compliance Associate to help drive our vision forward.

Primary Responsibilities

Regulatory Compliance & Monitoring

• Assist in implementing and maintaining the firm’s Compliance Policies and Procedures Manual under the Investment Advisers Act of 1940.
• Conduct routine testing and surveillance of key compliance areas such as trading, employee personal transactions, and communications monitoring.
• Perform AML reviews and money movements, ensuring adherence to the firm’s Customer Identification Program (CIP), screening sanctions, and suspicious activity reporting procedures.
• Help document findings and maintain supporting evidence for annual reviews under Rule 206(4)-7.
• Support the vendor management program, including due diligence on third-party providers (custodians, technology vendors, data providers, etc.).
• Collect and review SOC reports, cybersecurity questionnaires, and insurance certificates.
• Track vendor renewal dates, documentation, and risk ratings within the compliance system.

• Smarsh Review & Communications Supervision [Note: Converted to heading below again for clarity]

Smarsh Review & Communications Supervision

• Conduct daily Smarsh reviews of employee emails, social media, and electronic communications to ensure compliance with the firm’s Code of Ethics and Marketing Policy.
• Identify and escalate potential compliance concerns or unapproved communications to senior compliance staff in accordance with established procedures.
• Maintain logs of reviewed correspondence and document resolution notes in accordance with Rule 204-2 recordkeeping requirements.

Marketing & Advertising Review

• Assist in the review and archiving of marketing materials, client presentations, and web or social media content for compliance with the SEC Marketing Rule (Rule 206(4)-1).
• Confirm inclusion of required disclosures and consistent presentation of data and statements.
• Support periodic reviews of the firm's website and digital content to ensure compliance.

Training, Documentation & Filing

• Help maintain the firm’s compliance calendar and track regulatory deadlines, certifications, and attestation.
• Assist in preparing compliance training materials for staff on topics such as privacy, AML, cybersecurity, and Code of Ethics.
• Support data collection and document retention for regulatory examinations, internal audits, and annual compliance reviews.

Qualifications

Education

• Bachelor’s degree required (Finance, Business, Accounting, Economics, or related field preferred).

Experience

• 3-5 years of experience in compliance, operations, or risk management within a Registered Investment Adviser, broker-dealer, or financial institution.
• Internship or prior coursework related to financial regulation, auditing, AML, or investment management is preferred.

Skills & Attributes

• Demonstrates strong attention to detail and accuracy in recordkeeping.
• Excellent written and verbal communication skills.
• Ability to learn and apply regulatory concepts (SEC, AML, Reg S-P).
• Proficiency in Microsoft Office applications; experience with Smarsh, Advisor Engine CRM, Black Diamond, or COMPLY is a plus.
• Demonstrates a professional, discreet, and proactive approach to problem-solving.
• Working knowledge of SEC rules under the Investment Advisers Act.
• Interest in pursuing the Investment Adviser Certified Compliance Professional (IACCP®) designation.

Compensation Package

• Competitive salary based on experience and qualifications
• Comprehensive health, dental, and vision insurance
• Life and disability insurance
• Retirement savings plan with employer contributions
• Generous paid time off (PTO) package and holiday leave
• Paid parental leave
• Professional development opportunities and training programs
• Educational reimbursement plan
• Employee wellness and appreciation programs

Moran Wealth Management ® is an Equal Opportunity Employer. All qualified candidates will receive consideration for employment.