Senior Compliance Associate

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:

• Manages and performs 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, preparation of related report for filing with HR.
• Data gathering, data maintenance, review, and compliance reporting for both internal and external audiences (i.e., Code of Ethics, marketing materials, custody examination, etc.).
• Participates in the training of staff on firm’s various policy and procedures and regulatory matters.
• Assists with preparation of the firms’ required regulatory filings (e.g. Form ADV, Form 13F, Form 13H).
• Maintain the firm’s roster/credential list.
• Conduct client geography testing and associated maintenance of firm notice filing.
• Participates in the response to any regulatory inquiries and examinations.
• Assists as needed with the due diligence and onboarding process for acquisitions.
• Proactively identifies new technologies or efficiencies in workflows or processes to improve the company’s compliance program.
• Assists with the firm’s vendor management program.

Qualifications for this position:

• 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 or equivalent experience at a financial institution, desired.
• Ability to be proactive and follow up to resolve issues.
• Demonstrate sound judgement and apply logical and critical thought processes when developing and recommending solutions.
• Ability to work independently to meet deadlines.
• 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 status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.

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