Moneta is an independent Registered Investment Advisor (RIA) wholly focused on going further for our clients. We are one firm with many solutions and we provide a full spectrum of financial advisory services. Still, our true purpose is centered on building relationships and providing exceptional service to our clients around the globe. We also have the unique ability to trace our history back nearly 150 years, which demonstrates our ability to evolve to meet the needs of those we serve.

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 department

Essential Responsibilities

• Monitor 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.

• Bachelor’s degree required, preferably in finance, accounting, or a related field.
• Minimum of 2 years’ experience with investment adviser policies and procedures.
• FINRA Series 65 certification is a plus.
• Investment Adviser Certified Compliance Professional (IACCP®) preferred but not required.
• Supervisory, oversight, or audit experience preferred.
• Demonstrated ability to manage priorities, self-regulate, collaborate effectively, maintain a positive and forward-thinking approach, stay current with regulatory requirements, and take on additional responsibilities as needed.
• Must be authorized to work in the United States.

Moneta is committed to providing the best possible care for our employees; part of this care includes offering comprehensive benefits that enhance the well-being of employees and their families: 

• 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

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.