Senior Compliance Associate

Modera Wealth Management, LLC

Location: Charlotte, NC

Job Responsibilities

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

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.