Compliance Associate

Job Summary

Moran Wealth Management, LLC is a Registered Investment Advisory firm delivering comprehensive, bespoke solutions designed to meet the unique wealth management needs of clients. We take pride in our ability to foster long-term relationships built on trust, transparency, and a commitment to financial excellence. As we expand our team, we are looking for a Compliance Associate to help drive our vision forward.

Regulatory Compliance & Monitoring

• Assist in implementing and maintaining the firm’s Compliance Policies and Procedures Manual under the Investment Advisers Act of 1940.
• Conduct routine testing and surveillance of key compliance areas such as trading, employee personal transactions, and communications monitoring.
• Perform AML reviews and money movements, ensuring adherence to the firm’s Customer Identification Program (CIP), screening sanctions, and suspicious activity reporting procedures.
• Help document findings and maintain supporting evidence for annual reviews under Rule 206(4)-7.
• Support the vendor management program, including due diligence on third-party providers (custodians, technology vendors, data providers, etc.).
• Collect and review SOC reports, cybersecurity questionnaires, and insurance certificates.
• Track vendor renewal dates, documentation, and risk ratings within the compliance system.

• Smarsh Review & Communications Supervision [
  
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• Conduct daily Smarsh reviews of employee emails, social media, and electronic communications to ensure compliance with the firm’s Code of Ethics and Marketing Policy.
• Identify and escalate potential compliance concerns or unapproved communications to senior compliance staff in accordance with established procedures.
• Maintain logs of reviewed correspondence and document resolution notes in accordance with Rule 204-2 recordkeeping requirements.

• Assist in the review and archiving of marketing materials, client presentations, and web or social media content for compliance with the SEC Marketing Rule (Rule 206(4)-1).
• Confirm inclusion of required disclosures and consistent presentation of data and statements.
• Support periodic reviews of the firm's website and digital content to ensure compliance.

• Help maintain the firm’s compliance calendar and track regulatory deadlines, certifications, and attestation.
• Assist in preparing compliance training materials for staff on topics such as privacy, AML, cybersecurity, and Code of Ethics.
• Support data collection and document retention for regulatory examinations, internal audits, and annual compliance reviews.

• Bachelor’s degree required (Finance, Business, Accounting, Economics, or related field preferred).

• 3-5 years of experience in compliance, operations, or risk management within a Registered Investment Adviser, broker-dealer, or financial institution.
• Internship or prior coursework related to financial regulation, auditing, AML, or investment management is preferred.

• Demonstrates strong attention to detail and accuracy in recordkeeping.
• Excellent written and verbal communication skills.
• Ability to learn and apply regulatory concepts (SEC, AML, Reg S-P).
• Proficiency in Microsoft Office applications; experience with Smarsh, Advisor Engine CRM, Black Diamond, or COMPLY is a plus.
• Demonstrates a professional, discreet, and proactive approach to problem-solving.
• Working knowledge of SEC rules under the Investment Advisers Act.
• Interest in pursuing the Investment Adviser Certified Compliance Professional (IACCP®) designation.

• Competitive salary based on experience and qualifications
• Comprehensive health, dental, and vision insurance
• Life and disability insurance
• Retirement savings plan with employer contributions
• Generous paid time off (PTO) package and holiday leave
• Paid parental leave
• Professional development opportunities and training programs
• Educational reimbursement plan
• Employee wellness and appreciation programs

Moran Wealth Management ® is an Equal Opportunity Employer. All qualified candidates will receive consideration for employment.