Growth-Focused Compliance Associate for Wealth Advisory

Moneco Advisors, LLC; Pittsfield, Fairfield (MA, CT); On-site; USD 65,000 - 90,000; Full time

Job summary

Moneco Advisors, LLC is seeking a Compliance Associate to provide administrative, operational and technology support to the compliance function, helping ensure testing, documentation and follow-up are completed accurately and on schedule.

The role works closely with the Chief Compliance Officer, handling recurring processes and supporting exams and data requests, while using platforms like Orion Compliance, Wealthbox and CRM tools to keep records organized and up to date.

Qualifications

• 2-4 years of professional experience in compliance, financial services, or regulated environments.
• Bachelor’s degree preferred or equivalent combination of education and relevant experience.
• Strong organizational skills with the ability to manage multiple recurring deadlines and follow-up items.
• High level of attention to detail and accuracy.
• Strong written and verbal communication skills.
• Knowledge of compliance platforms and MS 365 tools is a plus.

Responsibilities

• Execute recurring compliance testing on daily, weekly, monthly, quarterly, semi-annual, and annual schedules.
• Document testing, track exceptions, and follow up on outstanding items.
• Maintain organized examination and audit files.
• Identify missing or incomplete documentation and coordinate follow-up.
• Serve as the first point of contact for routine compliance questions from coworkers and advisors.
• Escalate issues requiring senior compliance review.

Skills

Attention to detail

Organizational skills

Communication

Regulatory knowledge

Process improvement

Team collaboration

Education

Bachelor’s degree preferred or equivalent

Tools

Orion Compliance

Wealthbox

CRM systems

Microsoft Excel

Job description

Moneco Advisors, LLC is seeking a Compliance Associate to provide administrative, operational and technology support to the compliance function, helping ensure testing, documentation and follow-up are completed accurately and on schedule.

The role works closely with the Chief Compliance Officer, handling recurring processes and supporting exams and data requests, while using platforms like Orion Compliance, Wealthbox and CRM tools to keep records organized and up to date.