Compliance Analyst (with Marketing Focus)

Modera Wealth Management, LLC

Location: Charlotte, NC

Job Responsibilities

Review communications (including but not limited to firm website, social media, prospect materials and presentations) intended to be distributed to members of the public to ensure they are consistent with SEC regulations, firm policies and procedures, and best practices.

Mark and communicate required changes to the materials or offer alternative language if submitted materials are not approvable.

Answer questions pertaining to the submitted materials and required changes, as needed.

Verify that changes indicated have been made upon resubmission or that remark changes are still needed.

Help maintain books and records as needed to ensure accurate documentation and availability of such.

Partner with marketing and growth teams to provide compliance guidance and ensure adherence to policies and procedures.

Create informational tools and training materials aligned with compliance policies and regulatory requirements.

Assist with the maintenance of and updates to compliance policies and procedures to reflect regulatory changes.

Assist with the development and implementation of processes related to material review.

Qualifications

Bachelor’s Degree or equivalent work experience required.

3-5 years of compliance work experience preferably for an investment adviser (or a broker dealer).

Experience in a wealth management-related or financial services field.

Proven analytical and problem-solving skills.

Excellent project management and organizational 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 judgment and apply logical and critical thought processes when developing and recommending solutions.

Ability to work independently, to prioritize workload and to adhere to time sensitive deadlines.

Strong knowledge of SEC marketing and advertising rules and best practices.

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.