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.

• Review compliance manuals and identify needed updates, rewording, or changes.

• Assist with U4 and Form ADV Part 2B updates.

• Lead the firm's annual vendor due diligence process.

• Lead and coordinate annual branch reviews.

• Provide administrative support to the Chief Compliance Officer during regulatory requests and examinations.

• Data, Records & Advisor Support

• Keep Orion and other compliance systems accurate, clean, and up to date.

• Gather information for new advisors and other employees joining the firm.

• Maintain organized and current compliance records, documentation, and tracking systems.

• Assist with updating forms, templates, training materials, checklists, and internal compliance resources.

• Assist advisors with compliance-related technology and system issues.

• Technology & Process Improvement

• Use technology creatively to solve recurring compliance and operational problems.

• Identify opportunities to improve, automate, or streamline repetitive processes.

• Support compliance platforms and systems, including Orion Compliance, Wealthbox, Orion, iDoc, MyRepChat, Social Patrol, Teams and related tools.

• Maintain compliance calendars, trackers, checklists, records, and supporting documentation.

• New Hire & Team Onboarding

• Coordinate the compliance portion of new-hire onboarding for advisors, administrators, and other employees.

• Prepare and distribute required compliance paperwork, training materials, disclosures, and resources.

• Track completion of required onboarding activities and follow up on outstanding items.

• Schedule or coordinate recurring compliance training and check-ins for new team members.

• Maintain onboarding records and ensure required documentation is appropriately retained.

• General Compliance Support

• Provide scheduling, documentation, and administrative support for compliance meetings and initiatives.

• Track action items and recurring compliance deadlines.

• Assist with employee compliance communications and reminders.

• Support special projects and compliance initiatives as assigned.

• Identify opportunities to make recurring compliance processes more organized, efficient, and consistent.

What We’re Looking For:

• 2-4 years of professional experience; experience in compliance, financial services, wealth management, operations, or a regulated environment preferred.

• Bachelor’s degree preferred, or equivalent combination of education and relevant experience.

• Strong organizational skills with the ability to manage multiple recurring deadlines and follow-up items.

• High level of attention to detail and accuracy.

• Ability to follow established procedures consistently and recognize when an issue should be escalated.

• Strong written and verbal communication skills.

• Comfortable following up with employees at varying levels of the organization to obtain required information.

• Ability to handle confidential and sensitive information appropriately.

• Proficiency with Microsoft Excel and/or Google Workspace and ability to learn new technology systems.

• Experience with compliance, CRM, or financial-services technology is a plus but not required.

• Why Join Moneco Advisors?

• This is a unique opportunity to be creative, solve problems, and see the direct impact that personal financial planning has on clients’ lives. You’ll be part of one of the fastest-growing independent firms in Connecticut, supported by a team that values collaboration, professionalism, and growth.