Wealth Management 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, 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.