Trust Compliance Officer

Role Overview

• Manage an effective compliance program that adheres to all federal and state laws, rules and regulations.
• Regularly review and recommend updates to CTC’s processes, procedures and policies to ensure adherence to applicable laws, regulations and Cetera’s policies and procedures
• Work with other compliance affiliates within Cetera Financial Group, including the CISO and internal audit.
• Participate in risk management activities, including monitoring the effectiveness of internal controls and procedures, and working with the Chief Compliance Officer to develop strategies to mitigate those risks.
• Perform periodic testing pertaining to CTC’s compliance program and oversight of its vendors and service providers
• Work with the Chief Compliance Officer to develop and deliver compliance training to CTC employees, including BSA/AML.
• Maintain timely and comprehensive records of compliance activities, including findings and corrective actions
• Identify and escalate any potential violations to CTC senior management.
• Prepare all materials related to compliance activities for CTC committee and Board meetings in cooperation with Chief Compliance Officer.
• Maintain and coordinate testing of the Business Continuation Plan.
• Serve as Secretary for committee meetings, Security Officer and Privacy Coordinator for CTC.
• Screen entities and transactions against the OFAC sanctions list 314(a) Scans.

Requirements

• Bachelor's degree
• Professional certification such as Certified Fiduciary & Investment Risk Specialist (CFRIS) or Certified Trust and Fiduciary Advisor (CTFA) highly preferred.
• A minimum of 6 years of experience in a compliance role within the banking or financial services industry. Strong organizational, multi-tasking and analytical skills
• Outstanding written and verbal communication abilities
• Effective problem-solving and decision-making abilities while working both independently and as part of a team.
• Experience in maintaining successful compliance programs
• Experience in the Microsoft Suite of applications: Excel, Word, Outlook, SharePoint, and Access.

Benefits

• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.