Compliance Specialist

Moneta•Clayton, MO

10h

About The Position

Moneta is searching for a Compliance Specialist to join our small, dynamic Compliance team handling a wide range of tasks that cover all aspects of Wealth Management Compliance for our fast-paced and rapidly growing registered investment adviser. As a member of the Compliance Department, you will work alongside our team of professionals and develop your knowledge of compliance within the financial services industry. This is a great opportunity to work independently within a closely-knit team and grow your skillset to become an expert.

Requirements

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, as well as reviewing logged information and assisting advisor teams as needed
Responsible for the execution of daily compliance-related tasks, including the review and approval of advisory fees, trade records, and completed custodial forms
Develop thorough outlines of Department processes while seeking opportunities for efficiencies
Performs compliance-related audits, reviews, and data scrubs
Assists with supervision of financial advisors, including correspondence, marketing, technology use, and outside business activities
Takes ownership of assigned responsibilities and executes independently while collaborating and openly communicating with colleagues
Assist with maintenance of the Moneta policies and procedures manual
Supports the Compliance Team with various projects as required

Benefits

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
Professional development reimbursement
Paid volunteer time off (VTO)
Employee referral incentive bonus program
Onsite wellness programs & rewards
Employee engagement activities