Senior Compliance Associate - Remote

Overview

Modera Wealth Management is an independent, fee-only firm that strives to make a lasting positive impact on the lives of our clients through comprehensive financial planning and intelligent investment management. Modera is a fast-growing firm and has a track record of providing career development opportunities from entry level to ownership.

In Short

• Manage and perform monitoring and testing as required by compliance policies and procedures.
• Email/texting and instant messenger surveillance.
• OFAC/AML reviews and testing.
• Investment adviser representative licensing and maintenance.
• Initial assessment of code of ethics compliance violations.
• Data gathering, maintenance, and compliance reporting.
• Participate in training of staff on policy and regulatory matters.
• Assist with preparation of required regulatory filings.
• Conduct client geography testing and associated maintenance.
• Identify new technologies or efficiencies in workflows.

Requirements

• Bachelor’s Degree or equivalent work experience required.
• 2-3 years of experience in a wealth management-related or financial services field.
• Proven analytical and problem-solving skills.
• Highly proficient in Microsoft Office programs; experience with Star Compliance, Salesforce, and Tamarac a plus.
• Experience in compliance or internal audit with a registered investment adviser.
• Ability to be proactive and follow up to resolve issues.
• Excellent written and verbal communication skills.
• Team player, able to work well with all levels of the firm.
• Experience dealing with regulatory changes and policy implementations.
• Occasional travel may be required.

Benefits

• Competitive salary commensurate with experience.
• Performance-based bonus.
• Safe Harbor 401(k) plan.
• Medical, Dental, Vision, Flex-Spending Account, Long-Term and Short-Term Disability and Life insurance.
• Paid vacation.
• Opportunities for professional growth and continuing education.
• Partial remote work.