Investment Compliance Analyst

Moneta; Clayton (MO); Vor Ort; USD 80.000 - 110.000; Vollzeit

Benefits dieser Stelle

Paid holidays

PTO (Paid Time Off)

Insurance: Medical & Dental

Disability & Life Insurance

401k Match

Zusammenfassung

Moneta in Clayton, MO seeks an Investment Compliance Analyst to ensure client portfolios align with regulatory requirements, contractual obligations, and best-execution standards. The role leads the CSC review program and conducts ongoing manager fee analysis, working closely with the CIO and Investment leadership on compliance initiatives.

The position emphasizes maintaining audit trails, monitoring regulatory developments, and producing clear summaries for stakeholders.

Qualifikationen

• Bachelor’s degree in Accounting, Finance, or related concentration.
• 3-5 years of relevant experience in compliance, accounting, or investment operations.
• CPA preferred; CFA or CIPM relevant credentials also considered.
• Working knowledge of RIA compliance requirements, share class structures, and investment manager fee arrangements.
• Strong analytical skills with ability to review data for discrepancies and communicate findings clearly.
• Proficiency in Microsoft Office applications, particularly Excel, Bloomberg, Claude.

Aufgaben

• Leads CSC review program, identifying clients with higher-cost share classes and coordinating remediation.
• Conducts ongoing manager fee analysis across investment strategies and vehicles, benchmarking fees against peers and flagging discrepancies.
• Partners with CIO and Investment leadership on compliance projects and special initiatives.
• Maintains documentation, workpapers, and audit trails for share class and fee review findings.
• Monitors regulatory developments affecting share class selection, fee disclosure, and fiduciary obligations, translating requirements into workflows.
• Prepares clear, accurate summaries and reporting on CSC and fee analysis findings for CIO and stakeholders.
• Supports refinement of oversight processes to improve scalability and efficiency of compliance monitoring.
• Serves as a resource to Partner teams on share class appropriateness, fee structures, and related compliance matters.

Kenntnisse

Analytical skills

Communication

Regulatory knowledge

Excel usage

Ausbildung

Bachelor’s degree in Accounting or Finance

CPA preferred; CFA or CIPM considered

Tools

Excel

Bloomberg

Claude

Jobbeschreibung

The Investment Compliance Analyst supports the Investment and Compliance Departments in ensuring client portfolios and investment operations align with regulatory requirements, contractual obligations, and best-execution standards. This role leads the firm’s Cheapest Share Class oversight program and conducts ongoing manager fee analysis to protect client outcomes, working closely with the CIO and Investment leadership on compliance-related projects and initiatives.

• Leads the firm’s Cheapest Share Class (CSC) review program, identifying clients holding higher-cost share classes than warranted and coordinating remediation with Compliance and Partner teams.
• Conducts ongoing manager fee analysis across investment strategies and vehicles, benchmarking fees against peers and flagging discrepancies, fee creep, or billing errors.
• Partners with the CIO and Investment leadership on compliance-related projects and special initiatives, supporting the department’s broader research and operational objectives.
• Maintains documentation, workpapers, and audit trails supporting share class and fee review findings for internal and regulatory examination purposes.
• Monitors regulatory developments affecting share class selection, fee disclosure, and fiduciary obligations, and translates requirements into department workflows.
• Prepares clear, accurate summaries and reporting on CSC and fee analysis findings for the CIO, Compliance, and other stakeholders.
• Supports refinement of oversight processes and controls to improve the scalability, accuracy, and efficiency of compliance monitoring.
• Serves as a resource to Partner teams on share class appropriateness, fee structures, and related compliance matters.

Qualifications

• Bachelor’s degree in Accounting, Finance, or related concentration required
• 3-5 years of relevant experience in compliance, accounting, or investment operations required
• Certified Public Accountant (CPA) preferred; Chartered Financial Analyst (CFA) charter or Certificate in Investment Performance Measurement (CIPM) also considered
• Working knowledge of RIA compliance requirements, share class structures, and investment manager fee arrangements
• Strong analytical skills with a demonstrated ability to review data for discrepancies and communicate findings clearly
• Proficient in Microsoft Office applications, particularly Excel, Bloomberg, Claude
• Must be authorized to work in the United States

Additional Information

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 is unable to hold securities licenses with the exception of Series 65. We also do not allow outside business activities, insurance commissions, and/or trails.