As a member of the Compliance Department, the Compliance Manager serves as a subject matter expert and a trusted advisor to their colleagues and those under the Department’s supervision. This position is responsible for the oversight of certain compliance functions within the departmentEssential ResponsibilitiesMonitor the firm's compliance with the SEC 206(4)-2 Custody Rule, ensuring proper recordkeeping and supervision to safeguard client funds and securities.Assist with firm and personnel registration, including licensing investment adviser representatives via the FINRA Web CRD platform.Support the internal audit program by evaluating Client Teams for adherence to firm policies and procedures.Review and coordinate 13F/H filings through the EDGAR system, collaborating with other departments to ensure data accuracy.Manage the compliance attestation platform, tracking required disclosures and affirmations from supervised persons and employees.Review submitted disclosures for alignment with Moneta’s policies, escalating concerns as needed.Oversee third-party risk management by tracking service provider due diligence, leveraging technology for monitoring, and reporting privacy or data security concerns.Coordinate with external auditors to conduct the firm’s annual surprise custody audit as required by SEC regulations.Lead the semi-annual non-recommended holdings review, including preparing reports, analyzing responses, identifying trends, and escalating concerns.Facilitate trade supervision, addressing trade errors and ensuring proper recordkeeping.Ensure compliance with legal and regulatory requirements by conducting check-processing audits, issuing quarterly compliance reminders, supporting insurance renewal applications, confirming best execution reviews, and analyzing asset allocation reporting for client accounts.
