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Moneta · 1 day ago

Compliance Specialist

St Louis, MO

Full-time

Onsite

Mid Level

3+ years exp

Moneta is an independent Registered Investment Advisor focused on providing exceptional financial advisory services. They are seeking a Compliance Specialist to join their dynamic Compliance team, where the role involves handling various compliance-related tasks within the Wealth Management sector.

BankingConsultingFinancial Services

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

Qualification

Compliance experienceFinancial services knowledgeOperations experienceRegulatory knowledgeBachelor's Degree

Required

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

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

Company

Moneta

Moneta is one of the nation’s premier comprehensive wealth management firms distinguished by a legacy of innovation, service and loyalty to its clients that only an independent company can offer.

Founded in 1869

St Louis, Missouri, USA

501-1000 employees