Compliance Specialist

At Moneta, we believe strong compliance practices help create exceptional client experiences. We're seeking a Compliance Specialist to join our collaborative Compliance team and play a key role in supporting a nationally recognized wealth management firm experiencing significant growth. This is an excellent opportunity for a detail-oriented professional who enjoys problem-solving, building relationships, and working across teams.

You'll gain broad exposure to the regulatory and operational aspects of a leading Registered Investment Adviser (RIA) while partnering with advisors and business leaders to help ensure the firm maintains the highest standards of compliance and fiduciary responsibility. Whether you're coming from wealth management operations, compliance, registrations, or another financial services background, you'll have the opportunity to expand your expertise, take ownership of meaningful work, and grow your career alongside an experienced team of professionals.

What You'll Do

Partner with advisor teams to review client engagement agreements and provide compliance guidance. Support the daily execution of compliance activities, including reviews of advisory fees, trade activity, custodial forms, and other regulatory requirements. Conduct audits, reviews, and data validations to help ensure adherence to firm policies and industry regulations.

Assist in supervising advisor activities, including correspondence, marketing materials, technology usage, and outside business activity reviews. Identify process improvements and help document department procedures to increase efficiency and consistency. Contribute to the ongoing maintenance of firm policies, procedures, and compliance documentation.

Collaborate on special projects that support the growth and success of Moneta's Compliance function.

What We're Looking For

3+ years of experience in financial services, operations, compliance, registrations, or a related professional environment. Bachelor's degree preferred. Strong attention to detail and organizational skills. Ability to manage multiple priorities in a fast-paced environment. Effective communication skills and a collaborative approach to problem-solving.

Previous experience with a Registered Investment Adviser (RIA), broker-dealer, or wealth management firm is a plus. Why Join Moneta? At Moneta, you'll join a firm that is nationally recognized for its client-first approach, strong culture, and commitment to employee growth. We offer meaningful work, opportunities for professional development, and the ability to make an impact within a growing organization.

In addition to a comprehensive benefits package, employees enjoy professional development reimbursement, paid volunteer time, profit sharing, generous paid time off, parental leave, wellness programming, and a collaborative culture that encourages long-term career growth.