Compliance Associate

<p>Compliance Associate</p> <p><strong><em>Be the detail behind a strong compliance program at one of New England’s fastest-growing independent wealth management firms.</em></strong></p> <p>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.</p> <p><strong>What You’ll Do:</strong></p> <p>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.</p> <p>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.</p> <p>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.</p> <p><strong>Compliance Testing & Monitoring</strong></p> <ul> <li>Complete recurring compliance testing on daily, weekly, monthly, quarterly, semi-annual, and annual schedules.</li> <li>Document testing, track exceptions, and follow up on outstanding items.</li> </ul> <ul> <li>Maintain organized examination and audit files.</li> <li>Identify missing or incomplete documentation and coordinate follow-up.</li> </ul> <ul> <li>Serve as the first point of contact for routine compliance questions from coworkers and advisors.</li> <li>Escalate issues requiring senior compliance review.</li> </ul> <p><strong>Annual Compliance & Regulatory Projects</strong></p> <ul> <li>Serve as the primary point of contact for Annual ADV data gathering and preparation, coordinating information from advisors, departments, and custodians.</li> <li>Gather and organize information needed for the Annual Compliance Review.</li> </ul> <ul> <li>Assist with tracking remediation items and follow-up activities identified through examinations or compliance reviews.</li> </ul> <ul> <li>Review compliance manuals and identify needed updates, rewording, or changes.</li> <li>Assist with U4 and Form ADV Part 2B updates.</li> <li>Lead the firm's annual vendor due diligence process.</li> <li>Lead and coordinate annual branch reviews.</li> </ul> <ul> <li>Provide administrative support to the Chief Compliance Officer during regulatory requests and examinations.</li> </ul> <p><strong>Data, Records & Advisor Support</strong></p> <ul> <li>Keep Orion and other compliance systems accurate, clean, and up to date.</li> <li>Gather information for new advisors and other employees joining the firm.</li> <li>Maintain organized and current compliance records, documentation, and tracking systems.</li> </ul> <ul> <li>Assist with updating forms, templates, training materials, checklists, and internal compliance resources.</li> </ul> <ul> <li>Assist advisors with compliance-related technology and system issues.</li> </ul> <p><strong>Technology & Process Improvement</strong></p> <ul> <li>Use technology creatively to solve recurring compliance and operational problems.</li> <li>Identify opportunities to improve, automate, or streamline repetitive processes.</li> <li>Support compliance platforms and systems, including Orion Compliance, Wealthbox, Orion, iDoc, MyRepChat, Social Patrol, Teams and related tools.</li> </ul> <ul> <li>Maintain compliance calendars, trackers, checklists, records, and supporting documentation.</li> </ul> <p><strong>New Hire & Team Onboarding</strong></p> <ul> <li>Coordinate the compliance portion of new-hire onboarding for advisors, administrators, and other employees.</li> <li>Prepare and distribute required compliance paperwork, training materials, disclosures, and resources.</li> <li>Track completion of required onboarding activities and follow up on outstanding items.</li> <li>Schedule or coordinate recurring compliance training and check-ins for new team members.</li> <li>Maintain onboarding records and ensure required documentation is appropriately retained.</li> </ul> <p><strong>General Compliance Support</strong></p> <ul> <li>Provide scheduling, documentation, and administrative support for compliance meetings and initiatives.</li> <li>Track action items and recurring compliance deadlines.</li> <li>Assist with employee compliance communications and reminders.</li> <li>Support special projects and compliance initiatives as assigned.</li> <li>Identify opportunities to make recurring compliance processes more organized, efficient, and consistent.</li> </