Senior GC & CCO — Securities, Compliance & Strategy Leader

Moneta; Clayton (MO); On-site; USD 300,000 - 600,000; Full time

Benefits offered by this job

Paid holidays

PTO

Medical insurance

Dental insurance

Disability insurance

Life insurance

401k match

Profit-sharing bonus

Parental leave

Referral bonus

Wellness programs

Job summary

Moneta seeks a GC/CCO to establish and lead the in-house legal function, reporting to the CEO/COO, and oversee enterprise-wide compliance programs across securities regulation, contracts, and governance.

The role partners with leadership on strategic initiatives, due diligence, and risk management, while directing outside counsel and ensuring regulatory readiness and robust compliance culture.

Qualifications

• J.D. degree from an accredited law school.
• Minimum 20 years of combined legal and compliance experience.
• Senior-level experience as General Counsel or Chief Compliance Officer in financial services.
• Deep expertise in Investment Advisers Act of 1940 and SEC rules.
• Experience managing SEC examinations and outside counsel.

Responsibilities

• Lead in-house legal function and serve as primary advisor to CEO and COO.
• Oversee contracts, vendor and client agreements; manage outside counsel.
• Head regulatory compliance and SEC relations; ensure filing of ADV/ CRS.
• Develop and maintain written supervisory procedures and Code of Ethics.
• Support corporate governance and strategic initiatives; oversee risk management.

Skills

Legal leadership

Securities regulation

Regulatory compliance

Contract negotiations

Communication

Education

J.D.

Tools

MS Office

Job description

Moneta seeks a GC/CCO to establish and lead the in-house legal function, reporting to the CEO/COO, and oversee enterprise-wide compliance programs across securities regulation, contracts, and governance.

The role partners with leadership on strategic initiatives, due diligence, and risk management, while directing outside counsel and ensuring regulatory readiness and robust compliance culture.