Job Summary
The Investment Compliance Analyst supports the Investment and Compliance Departments in ensuring client portfolios and investment operations align with regulatory requirements, contractual obligations, and best-execution standards. This role leads the firm’s Cheapest Share Class oversight program and conducts ongoing manager fee analysis to protect client outcomes, working closely with the CIO and Investment leadership on compliance-related projects and initiatives.
Essential Responsibilities
- Leads the firm’s Cheapest Share Class (CSC) review program, identifying clients holding higher-cost share classes than warranted and coordinating remediation with Compliance and Partner teams.
- Conducts ongoing manager fee analysis across investment strategies and vehicles, benchmarking fees against peers and flagging discrepancies, fee creep, or billing errors.
- Partners with the CIO and Investment leadership on compliance-related projects and special initiatives, supporting the department’s broader research and operational objectives.
- Maintains documentation, workpapers, and audit trails supporting share class and fee review findings for internal and regulatory examination purposes.
- Monitors regulatory developments affecting share class selection, fee disclosure, and fiduciary obligations, and translates requirements into department workflows.
- Prepares clear, accurate summaries and reporting on CSC and fee analysis findings for the CIO, Compliance, and other stakeholders.
- Supports refinement of oversight processes and controls to improve the scalability, accuracy, and efficiency of compliance monitoring.
- Serves as a resource to Partner teams on share class appropriateness, fee structures, and related compliance matters.
Qualifications
- Bachelor’s degree in Accounting, Finance, or related concentration required
- 3-5 years of relevant experience in compliance, accounting, or investment operations required
- Certified Public Accountant (CPA) preferred; Chartered Financial Analyst (CFA) charter or Certificate in Investment Performance Measurement (CIPM) also considered
- Working knowledge of RIA compliance requirements, share class structures, and investment manager fee arrangements
- Strong analytical skills with a demonstrated ability to review data for discrepancies and communicate findings clearly
- Proficient in Microsoft Office applications, particularly Excel, Bloomberg, Claude
- Must be authorized to work in the United States
Additional Information
Moneta is committed to providing the best possible care for our employees; part of this care includes offering comprehensive benefits that enhance the well-being of employees and their families:
- Paid holidays
- Paid time off (PTO)
- Employer cost-shared medical and dental insurance
- Employer-paid short-term disability, long-term disability, AD&D insurance, and basic life insurance
- 401k Match – 50% of employee contributions up to 6% of compensation
- Discretionary annual profit-sharing bonus
- Paid parental leave
- Professional development reimbursement
- Paid volunteer time off (VTO)
- Employee referral incentive bonus program
- Onsite wellness programs & rewards
- Employee engagement activities
Moneta is a fiduciary fee-only Registered Investment Advisory firm and is unable to hold securities licenses with the exception of Series 65. We also do not allow outside business activities, insurance commissions, and/or trails.
Skills Required
- Bachelor's degree in Accounting, Finance, or a related concentration
- 3-5 years of relevant experience in compliance, accounting, or investment operations
- Working knowledge of RIA compliance requirements, share class structures, and investment manager fee arrangements
- Strong analytical skills and ability to review data for discrepancies and communicate findings clearly
- Proficiency in Microsoft Office applications, particularly Excel, Bloomberg, and Claude
- CPA certification
- CFA charter or CIPM certification
- Authorization to work in the United States
What We Do
Moneta is one of the nation’s premier comprehensive wealth management and financial planning firms distinguished by a legacy of innovation, service, and loyalty to our clients that only a completely independent company can offer. At Moneta, we believe in the power of relationships. Our team of dedicated professionals are passionate about making a difference in people’s lives by empowering them to navigate life’s path and protect what they cherish. We foster a culture of excellence and continuous growth, providing opportunities for you to develop your career while helping individuals, families, and institutions achieve their financial goals through highly personalized services leveraging cutting-edge technology and deep industry expertise. At Moneta, you will seek to understand, discover possibilities, and take action to deliver an exceptional experience. Our approach focuses on building long-term relationships with clients so we can design and execute custom solutions tailored to their unique needs and aligned with their personal aspirations.
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