MONECO Advisors is a holistic financial services firm headquartered in Fairfield, CT with offices in CT, NJ and RI 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 advises on over $1.7 billion in assets for approximately 2,500 client families. MONECO is looking for energetic individuals who will bring a fresh perspective and innovative touch to a traditional concept.

The CCO is responsible for all compliance and supervisory functions while being a liaison for the firm leaders and may designate other individuals for compliance assistance, such as maintaining logs, compliance research, etc. This role will serve as a key contributor to MONECO’s growth and influence business processes and activities.

Responsibilities:

• Continually review, enhance, and structure the MONECO compliance program to ensure compliance with applicable regulatory requirements and adaptation of MONECO business, both current and future
• Effectively identify, communicate, escalate and resolve compliance matters as appropriate.
• Monitor for and analyze proposed and current regulatory requirements and interpretations that impact or may impact MONECO.
• Oversee third-party compliance service provider’s tests of MONECO’s compliance policies and procedures.
• Oversee third-party IT provider to adhere to MONECO’s Cybersecurity policies and identify gaps and implement corrective action, as necessary.
• Manage internal review of marketing, advertising, and client service-related materials for compliance with regulatory requirements.
• Maintain oversight of portfolio trading and investment activity against investment guidelines, restrictions, disclosures, and regulatory requirements.
• Provide training on regulatory and compliance related matters and requirements; oversee the preparation of regulatory filings.
• Manage SEC and branch examinations, and lead responses to any regulatory inquiries or requests
• Be a superuser of the Orion Compliance program.
• Responsible for leadership, development, mentoring and team building among the compliance department and vendors.

Requirements:

• 10+ years of general compliance experience, with most recent experience being with an RIA firm $2B or larger
• Experience overseeing SEC and other regulatory exams, as well as working with broker dealer examiners
• Compliance auditing experience
• IARD System knowledge
• Experience updating ADV/U4 and Policy Procedures
• Experience in managing, testing, monitoring and oversight of compliance policies
• Experience managing a team
• Previous FINRA/BD experience, including a Series 24, preferred
• Experience in working with firm’s who have been active in adding advisors and conducting M&A, preferred
• Industry conference speaker or panelist experience, a plus

Salary and Benefits:

• Competitive salary and compensation (based on experience)
• Medical Insurance
• Dental/Vision Program
• Life and Personal Accident Insurance
• Short term Disability Insurance
• Long-term Disability Insurance
• 401(k) Plan with company match
• 4 weeks PTO and paid holidays

Apply now at https://www.monecoadvisors.com/cco