MONECO Advisors, LLC (Fairfield, CT) Seeking Chief Compliance Officer
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.
- 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.
- 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