General Counsel and Chief Compliance Officer

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.

Essential Responsibilities

• 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.

• 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.

• 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.

• 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.

• 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.

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