The Wealth Management & Trust Compliance Officer is responsible for developing and implementing the Banks compliance program related to the Wealth Management and Trust. Responsible for overseeing the daily operations of the program, and ensures adherence of the banks Trust and Wealth Management policies and procedures to Federal and State laws and regulations by performing the following duties:
Qualifications
8-10 years of experience in the wealth, trust, asset management, or investment areas; or equivalent combination of education and experience is required.
Experience or knowledge of FDIC, Department of Labor, Securities Exchange Commission, and the Employee Retirement Income Security Act regulations is preferred.
Requires skills in fact-finding, analysis, problem-solving and decision making.
Must have general knowledge of consumer compliance laws and regulations.
Excellent organizational, written, and oral communication skills.
Demonstrated ability to develop and maintain strong working relationships with all business units and management.
Strong technical and analytical reasoning skills to understand and interpret regulatory requirements and transform into well-developed operational matrices, procedures, and job aids.
Strong problem-solving, attention to detail, data review, project management, and time management skills.
Effective decision-making skills with proven ability to analyze information, develop strategies, and deliver results.
Unquestionable integrity in handling sensitive and confidential information required.
Proficient in MS Office products (Word, Excel, Outlook).
Excellent written and oral communication skills.
Strong problem-solving skills and demonstrated ability to take initiative and work independently.
Ability to prioritize numerous tasks and manage shifting priorities while maintaining strong organizational skills.
Ability to read, analyze and interpret various state/government regulations.
Education
Associate's Degree with 15 years relevant experience.
Certified Fiduciary & Investment Risk Specialist (CFIRS) or similar designation is preferred. A Certified AML & Fraud Professional (CAFP), Certified Regulatory Compliance Manager (CRCM), or Certified Trust & Financial Advisor (CFTA) or similar designations would be beneficial. Or completion of Florida Trust School.
Special Instructions to Candidates
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities.
Please view Equal Employment Opportunity Posters provided by OFCCP here.
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)
Reasonable accommodation may be made to assist individuals with disabilities to complete the online application process. Please contact our Human Resources Department at 305-577-7680 or by e-mail at employment@citynational.com.
