Compliance Associate

Compliance Associate

Be the detail behind a strong compliance program at one of New England’s fastest-growing independent wealth management firms.

Moneco Advisors, LLC is a holistic financial services firm based in Fairfield, CT offering a wide range of financial planning solutions. The firm takes a modern approach to the finance industry and its success is rooted in its strong culture. Moneco is looking for energetic individuals who will bring a fresh perspective and innovative touch to a traditional concept.

What You’ll Do:

The Compliance Associate provides administrative, operational and technology support to Moneco’s compliance function, helping ensure recurring compliance activities, regulatory requirements, compliance reviews, documentation, testing, and follow-up activities are completed accurately and on schedule.

This role is well suited for someone who is highly organized, detail-oriented, comfortable managing recurring processes, and interested in developing experience within the compliance function of a growing financial services organization. The Compliance Associate will work closely with the Chief Compliance Officer and other members of the organization to execute established compliance procedures and maintain accurate records.

The role is primarily execution-focused, with responsibility for completing and tracking established processes while escalating questions, exceptions, or potential compliance concerns to the Chief Compliance Officer.

Compliance Testing & Monitoring

• Complete recurring compliance testing on daily, weekly, monthly, quarterly, semi-annual, and annual schedules.

• Document testing, track exceptions, and follow up on outstanding items.

• Maintain organized examination and audit files.

• Identify missing or incomplete documentation and coordinate follow-up.

• Serve as the first point of contact for routine compliance questions from coworkers and advisors.

• Escalate issues requiring senior compliance review.

Annual Compliance & Regulatory Projects

• Serve as the primary point of contact for Annual ADV data gathering and preparation, coordinating information from advisors, departments, and custodians.

• Gather and organize information needed for the Annual Compliance Review.

• Assist with tracking remediation items and follow-up activities identified through examinations or compliance reviews.