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.Essential ResponsibilitiesFacilitates detailed analysis and preparation of client engagement agreements, as well as reviewing logged information and assisting advisor teams as neededResponsible for the execution of daily compliance-related tasks, including the review and approval of advisory fees, trade records, and completed custodial formsDevelop thorough outlines of Department processes while seeking opportunities for efficienciesPerforms compliance-related audits, reviews, and data scrubsAssists with supervision of financial advisors, including correspondence, marketing, technology use, and outside business activitiesTakes ownership of assigned responsibilities and executes independently while collaborating and openly communicating with colleaguesAssist with maintenance of the Moneta policies and procedures manualSupports the Compliance Team with various projects as required
