Ranked among the Top 10 RIAs by Barron’s for three consecutive years (2018-2020), Moneta is one of the nation’s premier comprehensive wealth management firms distinguished by a 150-year history of innovation, service, and loyalty to our clients that only an independent company can offer. Advisors joining Moneta gain access to our large-scale resources without giving up their entrepreneurial independence.

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.

Ranked among the Top 10 Registered Investment Advisory Firms by Barron’s for four consecutive years (2018-2021), Moneta is one of the nation’s premier comprehensive wealth management firms distinguished by 150 years of innovation, service and loyalty to our clients that only an independent company can offer.

Duties and Responsibilities

• Facilitates detailed analysis and preparation of client engagement agreements
• Responsible for the execution of daily compliance related tasks, including the review and approval of advisory fees and trade memos
• Completes quarterly reviews of employees’ securities transactions and compiles appropriate reporting
• Develops thorough outlines of Department processes while seeking opportunities for efficiencies
• Performs compliance related audits, reviews and data scrubs
• Assists with the registration of employees and the filing of required documents with the Securities and Exchange Commission and other regulatory agencies
• 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
• Understands and reinforces the Department’s mission in all actions: We seek to understand and ensure compliance requirements are well explained in every interaction
  • Before we say anything, we ask everything
  • We identify regulatory requirements and risk, cultivate protocols to address them, ensure our colleagues are aware and understand them and manage from a deep understanding of context
• Supports the Compliance Team with various projects as required

• Bachelor’s Degree preferred
• Two or more years of experience in a professional office environment
• Experience in an operations, registrations, or compliance department of a registered investment adviser

Moneta is a fiduciary fee-only Registered Investment Advisory firm and unable to hold securities licenses with the exception of Series 65. We also do not allow outside business activities, insurance commissions and/or trails.