{"id":2050282,"url":"https://alion.io/job/moneco-advisors-compliance-associate","title":"Compliance Associate","company":{"id":2434675,"name":"Moneco Advisors","domain":"monecoadvisors.com","url":"https://alion.io/company/monecoadvisors","size_band":"11-50","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"Greenhouse","truth_index":null},"role":"Legal","role_family":"Legal","seniority":"junior","employment_type":null,"work_mode":"on_site","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":null,"salary_estimate":{"min_usd":52000,"max_usd":121000,"period":"year","method":"role_seniority_country_remote_cell","sample_n":764},"experience_years_min":2,"visa_sponsorship":false,"relocation_package":false,"has_equity":false,"technologies":[{"name":"Google Workspace","optional":false},{"name":"Microsoft Excel","optional":false}],"status":"live","first_seen_at":"2026-09-30T17:47:53Z","employer_posted_date":"2026-09-30","last_verified_at":"2026-10-13T17:39:32Z","board_verified":true,"closed_at":null,"days_open":13,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":13},"description":"Compliance Associate\nBe the detail behind a strong compliance program at one of New England’s fastest-growing independent wealth management firms.\nMoneco Advisors, LLC is a holistic financial services firm based in Fairfield, CT 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 is looking for energetic individuals who will bring a fresh perspective and innovative touch to a traditional concept.\nWhat You’ll Do:\nThe Compliance Associate provides administrative, operational and technology support to Moneco’s compliance function, helping ensure recurring compliance activities, regulatory requirements, compliance reviews, documentation, testing, and follow-up activities are completed accurately and on schedule.\nThis role is well suited for someone who is highly organized, detail-oriented, comfortable managing recurring processes, and interested in developing experience within the compliance function of a growing financial services organization. The Compliance Associate will work closely with the Chief Compliance Officer and other members of the organization to execute established compliance procedures and maintain accurate records.\nThe role is primarily execution-focused, with responsibility for completing and tracking established processes while escalating questions, exceptions, or potential compliance concerns to the Chief Compliance Officer.\nCompliance Testing & Monitoring\nComplete recurring compliance testing on daily, weekly, monthly, quarterly, semi-annual, and annual schedules.\nDocument testing, track exceptions, and follow up on outstanding items.\nMaintain organized examination and audit files.\nIdentify missing or incomplete documentation and coordinate follow-up.\nServe as the first point of contact for routine compliance questions from coworkers and advisors.\nEscalate issues requiring senior compliance review.\nAnnual Compliance & Regulatory Projects\nServe as the primary point of contact for Annual ADV data gathering and preparation, coordinating information from advisors, departments, and custodians.\nGather and organize information needed for the Annual Compliance Review.\nAssist with tracking remediation items and follow-up activities identified through examinations or compliance reviews.\nReview compliance manuals and identify needed updates, rewording, or changes.\nAssist with U4 and Form ADV Part 2B updates.\nLead the firm's annual vendor due diligence process.\nLead and coordinate annual branch reviews.\nProvide administrative support to the Chief Compliance Officer during regulatory requests and examinations.\nData, Records & Advisor Support\nKeep Orion and other compliance systems accurate, clean, and up to date.\nGather information for new advisors and other employees joining the firm.\nMaintain organized and current compliance records, documentation, and tracking systems.\nAssist with updating forms, templates, training materials, checklists, and internal compliance resources.\nAssist advisors with compliance-related technology and system issues.\nTechnology & Process Improvement\nUse technology creatively to solve recurring compliance and operational problems.\nIdentify opportunities to improve, automate, or streamline repetitive processes.\nSupport compliance platforms and systems, including Orion Compliance, Wealthbox, Orion, iDoc, MyRepChat, Social Patrol, Teams and related tools.\nMaintain compliance calendars, trackers, checklists, records, and supporting documentation.\nNew Hire & Team Onboarding\nCoordinate the compliance portion of new-hire onboarding for advisors, administrators, and other employees.\nPrepare and distribute required compliance paperwork, training materials, disclosures, and resources.\nTrack completion of required onboarding activities and follow up on outstanding items.\nSchedule or coordinate recurring compliance training and check-ins for new team members.\nMaintain onboarding records and ensure required documentation is appropriately retained.\nGeneral Compliance Support\nProvide scheduling, documentation, and administrative support for compliance meetings and initiatives.\nTrack action items and recurring compliance deadlines.\nAssist with employee compliance communications and reminders.\nSupport special projects and compliance initiatives as assigned.\nIdentify opportunities to make recurring compliance processes more organized, efficient, and consistent.\nWhat We’re Looking For:\n2-4 years of professional experience; experience in compliance, financial services, wealth management, operations, or a regulated environment preferred.\nBachelor’s degree preferred, or equivalent combination of education and relevant experience.\nStrong organizational skills with the ability to manage multiple recurring deadlines and follow-up items.\nHigh level of attention to detail and accuracy.\nAbility to follow established procedures consistently and recognize when an issue should be escalated.\nStrong written and verbal communication skills.\nComfortable following up with employees at varying levels of the organization to obtain required information.\nAbility to handle confidential and sensitive information appropriately.\nProficiency with Microsoft Excel and/or Google Workspace and ability to learn new technology systems.\nExperience with compliance, CRM, or financial-services technology is a plus but not required.\nWhy Join Moneco Advisors?\nThis is a unique opportunity to be creative, solve problems, and see the direct impact that personal financial planning has on clients’ lives. You’ll be part of one of the fastest-growing independent firms in Connecticut, supported by a team that values collaboration, professionalism, and growth.","description_format":"text","description_chars":5748,"description_truncated":false,"requirements":{"experience_years_min":2,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":{"level":"bachelor","optional":false},"security_clearance":false,"languages":[]},"benefits":[],"hiring_locations":[],"hiring_excludes":[],"relocation_offered":false,"industries":["Wealth Management & Financial Advisors"],"lifecycle":[{"event":"open","at":"2026-10-07T21:21:38Z"}],"visa":[],"liveness":{"score":63,"band":"ok","label":"Likely open","p_open":1,"p_active":0.703,"p_room":0.9,"age_days":12,"expected_fill_days":24,"reasons":["conf:2","win:mid","comp:junior"],"computed_at":"2026-10-13T05:45:00Z"},"pay":null,"html_url":"https://alion.io/job/moneco-advisors-compliance-associate","json_url":"https://alion.io/job/moneco-advisors-compliance-associate.json","meta":{"generated_at":"2026-10-13T18:03:30Z","cache_seconds":300,"methodology":"https://alion.io/methodology","terms":"https://alion.io/terms","contact":"https://alion.io/contact","api":"https://alion.io/developers","about":"Alion is a live layer of people, companies and AI agents: who they are, whether they are real and active right now, what they do and how to work with them, readable by people and by agents and paid per call.","catalog":"https://alion.io/catalog.json","usage":{"tier":"crawler_verified","counted_by":"address","units_charged":1,"used_today":27583,"day_limit":null,"remaining_today":null,"minute_limit":300,"resets_at":"2026-10-14T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.02,"usd":0.002,"plus_per_slice":{"credits":0.05,"usd":0.005}},"unit":"per company, plus each slice with data","note":"the employer in depth","call":{"mcp_tool":"get_company","arguments":{"id":2434675},"rest":"https://alion.io/mcp/rest/get_company?id=2434675"},"human":"https://alion.io/catalog?offer=company.slices&for=job%2Fmoneco-advisors-compliance-associate"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"live","price":{"credits":1,"usd":0.1},"unit":"per slice","note":"pay, demand and time to fill for this role and place","call":{"mcp_tool":"market_stats"},"human":"https://alion.io/catalog?offer=market.stats&for=job%2Fmoneco-advisors-compliance-associate"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.02,"usd":0.002},"unit":"per posting in a list","note":"similar open postings","call":{"mcp_tool":"search_jobs"},"human":"https://alion.io/catalog?offer=job.search&for=job%2Fmoneco-advisors-compliance-associate"},{"id":"company.verify","title":"Is this company real and active right now","status":"pilot","price":null,"unit":"per company","request":{"url":"https://alion.io/catalog/request","method":"POST","body":"{\"offer\": \"company.verify\", \"for\": \"job/moneco-advisors-compliance-associate\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Fmoneco-advisors-compliance-associate"}]}