Compliance Officer - Remote

Overview

Modera Wealth Management is seeking a Compliance Officer to ensure adherence to SEC regulations and firm policies while supporting a positive impact on clients through financial planning and investment management.

In Short

• Review communications for compliance with SEC regulations.
• Mark and communicate required changes to materials.
• Answer questions regarding submitted materials.
• Verify changes upon resubmission.
• Maintain accurate documentation and records.
• Partner with marketing for compliance guidance.
• Create training materials aligned with compliance policies.
• Assist with updates to compliance policies.
• Develop processes related to material review.

Requirements

• Bachelor’s Degree or equivalent work experience.
• 3-5 years of compliance experience in financial services.
• Proven analytical and problem-solving skills.
• Excellent project management and organizational skills.
• Proficient in Microsoft Office; experience with Star Compliance, Salesforce, and Tamarac is a plus.
• Ability to work independently and prioritize workload.
• Strong knowledge of SEC marketing rules.
• Excellent written and verbal communication skills.
• Team player with a proactive approach.

Benefits

• Competitive salary commensurate with experience.
• Performance-based bonus.
• Safe Harbor 401(k) plan.
• Medical, Dental, Vision, and Life insurance.
• Paid vacation.
• Opportunities for professional growth.
• Partial remote work.