Compliance Associate

Moneco Advisors • Pittsfield, MA

16h

About The Position

The Compliance Associate provides administrative, operational and technology support to Moneco’s compliance function, helping ensure recurring compliance activities, regulatory requirements, compliance reviews, documentation, testing, and follow-up activities are completed accurately and on schedule. This role is well suited for someone who is highly organized, detail-oriented, comfortable managing recurring processes, and interested in developing experience within the compliance function of a growing financial services organization. The Compliance Associate will work closely with the Chief Compliance Officer and other members of the organization to execute established compliance procedures and maintain accurate records. The role is primarily execution-focused, with responsibility for completing and tracking established processes while escalating questions, exceptions, or potential compliance concerns to the Chief Compliance Officer.

Requirements

• 2-4 years of professional experience; experience in compliance, financial services, wealth management, operations, or a regulated environment preferred.
• 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.
• Ability to follow established procedures consistently and recognize when an issue should be escalated.
• Strong written and verbal communication skills.
• Comfortable following up with employees at varying levels of the organization to obtain required information.
• Ability to handle confidential and sensitive information appropriately.
• Proficiency with Microsoft Excel and/or Google Workspace and ability to learn new technology systems.

Nice To Haves

• Experience with compliance, CRM, or financial-services technology is a plus but not required.

Responsibilities

• Complete 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.
• Serve as the primary point of contact for Annual ADV data gathering and preparation, coordinating information from advisors, departments, and custodians.
• Gather and organize information needed for the Annual Compliance Review.
• Assist with tracking remediation items and follow-up activities identified through examinations or compliance reviews.
• Review compliance manuals and identify needed updates, rewording, or changes.
• Assist with U4 and Form ADV Part 2B updates.
• Lead the firm's annual vendor due diligence process.
• Lead and coordinate annual branch reviews.
• Provide administrative support to the Chief Compliance Officer during regulatory requests and examinations.
• Keep Orion and other compliance systems accurate, clean, and up to date.
• Gather information for new advisors and other employees joining the firm.
• Maintain organized and current compliance records, documentation, and tracking systems.
• Assist with updating forms, templates, training materials, checklists, and internal compliance resources.
• Assist advisors with compliance-related technology and system issues.
• Use technology creatively to solve recurring compliance and operational problems.
• Identify opportunities to improve, automate, or streamline repetitive processes.
• Support compliance platforms and systems, including Orion Compliance, Wealthbox, Orion, iDoc, MyRepChat, Social Patrol, Teams and related tools.
• Maintain compliance calendars, trackers, checklists, records, and supporting documentation.
• Coordinate the compliance portion of new-hire onboarding for advisors, administrators, and other employees.
• Prepare and distribute required compliance paperwork, training materials, disclosures, and resources.
• Track completion of required onboarding activities and follow up on outstanding items.
• Schedule or coordinate recurring compliance training and check-ins for new team members.
• Maintain onboarding records and ensure required documentation is appropriately retained.
• Provide scheduling, documentation, and administrative support for compliance meetings and initiatives.
• Track action items and recurring compliance deadlines.
• Assist with employee compliance communications and reminders.
• Support special projects and compliance initiatives as assigned.
• Identify opportunities to make recurring compliance processes more organized, efficient, and consistent.

Benefits

• This is a unique opportunity to be creative, solve problems, and see the direct impact that personal financial planning has on clients’ lives.
• You’ll be part of one of the fastest-growing independent firms in Connecticut, supported by a team that values collaboration, professionalism, and growth.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: Associate degree