Compliance Analyst (with Marketing Focus)

About Modera Wealth Management:  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.   We are seeking individuals who embody Modera’s core values:

• Confident Humility – a quintessential team player, willing to do whatever it takes to get a job done, with pragmatic optimism
• Contagious Growth Mindset – a continuous learner with intellectual curiosity who strives for excellence and inspires others
• Trusted Relationships – Supportive and authentic with mutual respect for colleagues

In addition, the ideal candidate:

• Shares our commitment to maintaining a supportive and inclusive environment where everyone feels a sense of belonging.
• Is extremely organized with excellent attention to detail.
• Is capable of prioritizing and managing multiple tasks concurrently.
• Thrives in an environment focused on creative problem solving.
• Is an engaging and charismatic communicator.
• Has a passion for excellent service.
• Is a self-starter.

Job responsibilities include but are not limited to:

• Review communications (including but not limited to firm website, social media, prospect materials and presentations) intended to be distributed to members of the public to ensure they are consistent with SEC regulations, firm policies and procedures, and best practices.
• Mark and communicate required changes to the materials or offer alternative language if submitted materials are not approvable.
• Answer questions pertaining to the submitted materials and required changes, as needed.
• Verify that changes indicated have been made upon resubmission or that remark changes are still needed.
• Help maintain books and records as needed to ensure accurate documentation and availability of such.
• Partner with marketing and growth teams to provide compliance guidance and ensure adherence to policies and procedures.
• Create informational tools and training materials aligned with compliance policies and regulatory requirements.
• Assist with the maintenance of and updates to compliance policies and procedures to reflect regulatory changes.
• Assist with the development and implementation of processes related to material review.

Qualifications for this position:

• Bachelor’s Degree or equivalent work experience required.
• 3-5 years of compliance work experience preferably for an investment adviser (or a broker dealer).
• Experience in a wealth management-related or financial services field.
• Proven analytical and problem-solving skills.
• Excellent project management and organizational 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 or equivalent experience at a financial institution, desired.
• Ability to be proactive and follow up to resolve issues.
• Demonstrate sound judgment and apply logical and critical thought processes when developing and recommending solutions.
• Ability to work independently, to prioritize workload and to adhere to time sensitive deadlines.
• Strong knowledge of SEC marketing and advertising rules and best practices.
• Excellent written and verbal communication skills.
• Team player, able to work well with all levels of the firm, and pitch in wherever needed.
• Experience dealing with regulatory changes and policy implementations relating to such changes.
• Occasional travel may be required.

What we offer:

• 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

Modera Wealth Management, LLC provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran statu