Moran Wealth Management Seeking Junior Compliance & Ops Analyst/Specialist (Naples, FL)

About the job

Moran Wealth Management® is a Registered Investment Advisory firm providing vast resources and customized strategies to help meet clients’ investment management needs. Clients are serviced by a team of experienced advisors offering a range of financial products and services, including investment management, succession planning strategies, philanthropic and specialty asset management, and family office services.

Overview:

As a Junior Compliance & Operations Analyst/Specialist, you will play a crucial role in supporting the Compliance & Operations department and ensuring adherence to regulatory requirements. This is an excellent opportunity for someone looking to gain valuable experience in the financial services industry and contribute to the growth of the firm.

You will be tasked with developing and sometimes implementing changes based on your research into the firm’s compliance & service operations. These may have to do with specific firm policies, resources, operations, processes, and procedures.

Primary Responsibilities:

  • Supporting the Chief Compliance Officer in overseeing our comprehensive compliance program & annual review reporting.
  • Assisting in the preparation of compliance reports and regulatory filings, ensuring accuracy and timeliness.
  • Conducting ongoing testing of policies and procedures and maintaining accurate documentation & record-keeping.
  • Collaborating on other aspects of compliance, such as portfolio surveillance & marketing reviews, ensuring adherence to regulatory guidelines.
  • Performing anti-money laundering (AML) and know-your-customer (KYC) reviews.
  • Develop and implement department-wide quality control measures.
  • Assisting in planning, organizing, and coordinating functions relating to the client service operations of the firm.
  • Assisting in the implementation of new technology solutions to improve efficiency throughout the firm.
  • Assisting in developing and maintaining written standard operating procedures, how-to-documents, and workflow diagrams.
  • And any other duties needed to help drive to our Vision, fulfill our Mission, and abide by our Firm’s Values.

Requirements/Qualifications:

  • Bachelor’s Degree from an accredited college/university.
  • Recommended at least 2 years of relevant compliance experience as an investment adviser, broker-dealer, or related firm (relevant internship experience may be considered for entry-level candidates).
  • Basic knowledge of SEC laws and regulations applicable to registered investment advisers and private fund offerings, particularly the Investment Advisers Act of 1940.
  • Proficiency in Microsoft Word, Excel, and PowerPoint.
  • Strong organizational and time management skills
  • Detail-oriented and process-driven mindset.
  • Effective communication and interpersonal skills.
  • Ability to handle multiple tasks in a time-sensitive environment.
  • Ability to work under pressure and meet deadlines.
  • Prior experience in a compliance-related role is a plus.

Interested? Please send an email with your resume to jeff.lebriton@moranwm.com