Wealth Management Compliance Specialist (Remote eligible - AZ, FL, KS, MO, NM, NV, TX)
Full Time
Clayton, MO
Posted
Job description
Enterprise Bank & Trust was founded in the spirit of entrepreneurship and community. From the small mom-and-pop coffee shop to the large construction company that employs local people, our goal is to help businesses succeed and our communities thrive. With offices in Missouri, Kansas , Arizona, California, New Mexico and Nevada, we’re strong, growing and committed to supporting the communities we serve. We extend this commitment to the community to our associates, offering annual paid volunteer time off and charitable-matching opportunities. Voted
A Best Bank to Work For by American Banker for multiple years, we offer our associates an array of benefits and the opportunity to chart their own career path with us. Join us in the pursuit of our mission to guide people to a lifetime of financial success, and enjoy a career filled with professional growth opportunities, interesting colleagues and the satisfaction of supporting our communities. Together, there’s no stopping you.
Wealth Management Compliance Specialist (Remote eligible - AZ, FL, KS, MO, NM, NV, TX)
Job Description
Summary
Responsible for oversight of all Wealth Management compliance activities. Responsible for creating and updating compliance procedures and ensuring that all Wealth Management compliance responsibilities are completed accurately and on a timely basis.
Essential Duties and Responsibilities:
Develops internal compliance procedures to meet regulatory requirements in the most efficient manner possible.-
Works to streamline compliance efforts for Wealth Management.
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Review scheduled Reg 9 reviews for accuracy, ensures Reg 9 reviews are completed on schedule.
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Prepares compliance related reporting for internal stakeholders and regulators
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Serves as the Wealth Management representative on the Risk Oversight and Risk and Compliance Committees.
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Member of Fee, Trust Compliance and Discretionary Committees; serve as secretary for each committee and gathers reports for each meeting, obtain signed minutes and compiles final packets.
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Manages exception reports reporting process.
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Manages the annual exams and SOC1 testing.
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Stays current on regulatory changes, adjust policies and procedures when needed,
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Responsible for tracking exceptions and ensuring that Investment Policy Statements, Retention agreements, or other client documentation is in compliance with internal policies.
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Reconciles fee collection efforts and tracks when fee discounts expire.
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Serves as subject matter expert for Trust Desk or other compliance reporting platform.
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Works with outside vendors to improve efficiency and accuracy of compliance reporting platform
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Ensures that compliance related data and information is collected and stored in Salesforce as needed
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Performs other duties as required.
Qualifications:
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Excellent knowledge of investment and compliance regulations.
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Must have excellent communication skills in order to coach, mentor, and train all members of the Wealth Management team on compliance tasks.
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Ability and willingness to independently solve complicated compliance issues
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Proven ability to identify and improve efficiency of processes and procedures.
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Ability to work in a high paced team environment, recognizes and acts on changing priorities
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Strong verbal and written communication skills
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Strong analytical and decision making skills based on thoughtful assessment of risk and attention to detail along with good judgement and character.
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Effective time management and organizational skills are required for daily multi-tasking.
Supervisory Responsibilities: None
Education and/or Experience:
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Bachelor’s degree in business, finance, or related field -
A minimum of 5 years of compliance experience for a trust company or wealth management firm
Computer and Software Skills:
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Microsoft Office (required) with intermediate excel skills -
Wealthscape
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Trust Desk
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Salesforce
Certificates, Licenses and Registrations:
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Certified Fiduciary and Investment Risk Specialist is preferred
Additional Information
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Travel to the markets in which the bank operates will occur. -
Incumbent may be required to work long hours and weekends during periods of high volumes.
Equal Opportunity Statement
Enterprise Bank & Trust is committed to helping individuals with disabilities participate in the workforce and ensuring equal opportunity to apply and compete for jobs. If you need an accommodation in order to apply for a position at Enterprise Bank & Trust please contact Human Resources at
hr@enterprisebank.com
.
Enterprise Bank & Trust is committed to managing our business and community relationships in ways that positively impact our associates, clients, and the diverse communities where we work and live. We are proud to be an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, national origin, sexual orientation, gender identity or protected veteran status and will not be discriminated against on the basis of disability. All employment offers are contingent upon the applicant successfully completing both drug and background check screenings. If you would like more information about your EEO rights as an applicant under the law, please download the Equal Employment Opportunity is the Law poster
.
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