Job Summary
The General Counsel & Chief Compliance Officer (GC/CCO) serves as Moneta’s senior-most legal and compliance executive, establishing and leading the firm’s in-house legal function while maintaining direct accountability for enterprise-wide compliance program leadership. Reporting jointly to the Chief Executive Officer and Chief Operating Officer, this role provides authoritative legal counsel on securities law, regulatory matters, contracts, and business risk, and serves as the firm’s Chief Compliance Officer of record before the SEC and applicable state regulators. Equally important, the GC/CCO serves as a visible and trusted resource across the firm’s partnership, building the relationships and communication infrastructure necessary for a thriving compliance culture and sound legal risk management.
Essential Responsibilities
Legal Counsel & Enterprise Legal Function
- Serve as the firm’s founding in-house legal counsel and primary legal advisor to the CEO, COO, and senior leadership on matters of investment adviser law, securities regulation, corporate governance, contracts, and business risk.
- Establish and define the scope of the in-house legal function, including frameworks for determining which matters are handled internally versus referred to outside counsel.
- Review, negotiate, and manage firm contracts, vendor agreements, client agreements, and other legal documents; engage and oversee outside counsel for specialized matters including employment, litigation, and M&A.
- Manage outside legal counsel relationships across practice areas, including matter assignment, budget oversight, and quality of work product.
- Advise on legal implications of new business initiatives, service offerings, and strategic transactions; support acquisition due diligence and integration in coordination with outside counsel.
- Manage litigation, regulatory investigations, and dispute resolution matters in coordination with outside counsel, keeping firm leadership apprised of material developments.
- Oversee corporate insurance programs, including Errors & Omissions and Directors & Officers coverage, and support corporate governance structures including entity management and partnership-level reporting.
Regulatory Compliance & SEC Relations
- Serve as the firm’s Chief Compliance Officer of record, bearing primary accountability for all regulatory matters before the SEC, state securities regulators, and other applicable bodies.
- Lead all aspects of SEC examination readiness, including managing exam cycles, responding to regulatory inquiries, and overseeing corrective action plans.
- Oversee timely and accurate preparation and submission of Form ADV, Form CRS, and all other required regulatory filings.
- Monitor the regulatory environment, assess the impact of new rulemaking and guidance on firm operations, and communicate implications and recommended responses to leadership.
Compliance Program Management
- Own and maintain the firm’s written supervisory procedures (WSPs), policies and procedures manual, and Code of Ethics, updating as regulatory and operational requirements evolve.
- Direct annual compliance testing and risk assessments; ensure identified gaps are remediated on a timely basis and prepare the required written report to management under Rule 206(4)-7.
- Administer personal securities trading, gifts and entertainment, outside business activity, and electronic communications compliance programs.
- Partner with IT and operations leadership to oversee compliance with SEC Regulation S-P, Regulation S-ID, and applicable cybersecurity and data privacy requirements.
- Build and maintain scalable legal and compliance frameworks to support firm entry into new states and markets, including state registration strategy and multi-state notice filing management.
Firm Engagement & Communications
- Serve as the firm’s primary legal and compliance communicator, delivering ongoing updates to the firm at large through written communications and presentations at firm-wide events.
- Engage Partner teams on an ongoing basis to understand and assess compliance needs, risks, and opportunities, building the trust and partnership necessary for proactive and effective compliance engagement.
- Design and deliver compliance training programs for employees and Partner teams, including new hire onboarding; develop and maintain supporting materials and policy summaries for firm-wide use.
Team Leadership
- Lead, develop, and establish clear performance standards and professional development pathways for the compliance department, including the Deputy Chief Compliance Officer and supporting staff.
- Prepare and deliver regular legal and compliance reporting to firm leadership, including updates on regulatory developments, examination activity, outside counsel matters, and program effectiveness.
Qualifications
- J.D. from an accredited law school required.
- Minimum 20 years of combined legal and compliance experience, with significant tenure in investment adviser law, securities regulation, or financial services.
- Prior experience serving as General Counsel, Chief Compliance Officer, or in a senior role encompassing both functions at an RIA, broker-dealer, or wealth management firm.
- Demonstrated expertise in the Investment Advisers Act of 1940, applicable SEC rules and guidance, and state-level securities regulations.
- Documented experience managing SEC examination responses and regulatory inquiries.
- Experience establishing or materially building an in-house legal function preferred.
- Experience managing outside counsel relationships across multiple practice areas.
- Experience with M&A due diligence, national expansion, or multi-state registration in a financial services context preferred.
- IACCP, CIPP, CFE, or comparable compliance or legal certification preferred.
- Proficient in Microsoft Office applications.
Must be authorized to work in the United States.
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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
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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.
