Compliance Specialist

Moneta; Clayton (MO); On-site; USD 65,000 - 90,000; Full time

Benefits offered by this job

Paid holidays

PTO

Medical and dental insurance

Disability and life insurance

401k match

Profit-sharing bonus

Parental leave

Referral incentive bonus

Wellness programs

Job summary

Moneta, a fiduciary fee-only Registered Investment Adviser, is seeking a Compliance Specialist to join a small, dynamic team. Responsibilities include reviewing client engagement details, monitoring advisory fees and trade records, and supporting supervision of advisors.

The role offers a full-time, exempt schedule with comprehensive benefits. Ideal candidates have a Bachelor’s degree and 3+ years in a professional or compliance setting within wealth management.

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 adviser.

Responsibilities

• Facilitates detailed analysis and preparation of client engagement agreements and reviews logged information for advisor teams.
• Executes daily compliance-related tasks, including review/approval of advisory fees, trade records, and custodial forms.
• Develops process outlines and seeks efficiencies within the department.
• Performs compliance-related audits, reviews, and data scrubs.
• Assists with supervision of financial advisors and outside business activities.
• Maintains the Moneta policies and procedures manual and supports various projects.

Skills

Compliance experience

Attention to detail

Education

Bachelor's Degree

Job description

Moneta is an independent Registered Investment Advisor (RIA) wholly focused on going further for our clients. We are one firm with many solutions and we provide a full spectrum of financial advisory services. Still, our true purpose is centered on building relationships and providing exceptional service to our clients around the globe. For that reason, we’ve built an entrepreneurial business model organized around our clients. We also have the unique ability to trace our history back nearly 150 years, which demonstrates our ability to evolve to meet the needs of those we serve.

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.

• Facilitates detailed analysis and preparation of client engagement agreements, as well as reviewing logged information and assisting advisor teams as needed
• Responsible for the execution of daily compliance-related tasks, including the review and approval of advisory fees, trade records, and completed custodial forms
• Develop thorough outlines of Department processes while seeking opportunities for efficiencies
• Performs compliance-related audits, reviews, and data scrubs
• 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
• Assist with maintenance of the Moneta policies and procedures manual
• Supports the Compliance Team with various projects as required

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 adviser

Additional information

This 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 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
• Employee referral incentive bonus program
• Onsite wellness programs & rewards

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