Job Description

We are seeking a detail-oriented and analytical Compliance Analyst to support the oversight of trading activity, trade execution practices, and investment suitability across our investment platforms. This role plays a critical part in ensuring compliance with SEC, and other regulatory requirements, as well as internal policies and procedures related to best execution and client suitability.

Essential Responsibilities

• Trade Surveillance & Monitoring: Conduct daily reviews of trade activity to identify anomalies, errors, and potential violations; ensure adherence to best execution standards and equitable treatment across client accounts.
• Issue Investigation & Risk Mitigation: Investigate escalations, trade errors, and execution outliers; identify gaps in compliance processes and recommend improvements to internal controls and oversight procedures.
• Investment Suitability Oversight : Evaluate client investment profiles, risk tolerances, and objectives to ensure product and strategy alignment; assess complex securities and oversee share class selection and related fees.
• Due Diligence & Product Review: Ensure due diligence is performed on investment products, including suitability, associated risks, and regulatory considerations.
• Compliance Program Support : Contribute to the development, maintenance, and enforcement of trading and investment-related compliance policies; remain current on evolving regulatory requirements.
• Reporting & Documentation: Generate and maintain reports, dashboards, and records related to surveillance findings, exceptions, and resolutions using compliance platforms such as My Compliance Office (MCO).
• Collaboration & Advisory Support: Partner with trading, investment, operations, and advisory teams to resolve issues, implement controls, and provide guidance on trade practices and product approvals.
• Regulatory Support & Examinations: Assist with regulatory exams, audits, and internal reviews by preparing documentation and supporting the Chief Compliance Officer and broader compliance team.

Qualifications

• Bachelor’s degree in Finance, Economics, Business, or related field.
• 4+ years of experience in compliance, trading oversight, or investment operations in a financial services firm.
• Strong knowledge of securities regulations, especially related to trading and client suitability.
• Experience with making regulatory filings on IARD and conducting compliance testing.
• Proficiency in Excel; experience with data analytics tools is a plus.
• Experience at an RIA, broker-dealer, or asset management firm.
• Working knowledge of performance reporting, fee billing, and portfolio management systems.
• Must be authorized to work in the United States

Additional Information

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 is unable to hold securities licenses with the exception of Series 65. We also do not allow outside business activities, insurance commissions, and/or trails.