Trust Compliance Coordinator

Position Summary: The Trust Compliance Coordinator monitors compliance within the Wealth Management division and maintains policies and programs throughout the division. Maintains extensive knowledge of trust laws, securities regulations, and compliance through research and training and serves as a resource to the Wealth Management division.

Part-Time (20-30 hours) Flexible between Monday - Friday 7:30 AM - 4:30 PM

Essential Functions:

• Review and update Wealth Management forms as needed and ensure compliance with applicable laws and regulatory requirements.
• Maintain and track all Wealth Management Policy Manual changes and work with department policy owners on revisions. This includes reviewing and updating the Manual to ensure policies are in line with regulatory requirement and department processes.
• Perform periodic testing and monitor for compliance with applicable laws and regulations and adherence to internal policies including, but not limited to CIP (Customer Identification Program), personal securities transactions, overdrafts, un-invested/surplus cash, conflicts of interest/self-dealing, discretionary distributions, reversal/suppressions, Maui transactions, regulation O compliance, affiliate stock holdings and purchases, cross trades, and other monitors as requested.
• Train new authorized guarantors for the Medallion Signature Guarantee Program and serve as a point person for authorized guarantors' questions. Oversee documentation of Medallion Signature Guarantee logs.
• Analyze and approve marketing material related to Wealth Management Division to ensure regulatory compliance.
• Responsible for the Account Review and Risk Management (ARRM) closed account retention project, monitor account risk ranking appropriateness, and be a resource for employees with questions regarding their ARRM reviews.
• Distribute and evaluate results of the Annual Officer and Employee questionnaire survey that is utilized for Wealth Management regulatory exam.
• Provide research for compliance questions and various projects from Wealth Management Departments.
• Resource for record retention projects for Wealth Management Division retention schedule.
• Compose and maintain written procedures for all essential functions of position.
• Understand and adhere to all bank policies, laws and regulations applicable to their role. Complete compliance training; follow internal processes, and controls as required.
• Report all compliance issues, violations of law or regulations in accordance with the steps defined in bank policies.
• Regular and reliable attendance is an essential function of this position.
• Perform other job-related duties or special projects as assigned.

Qualifications:

• Bachelor's degree in business administration or related field preferred.
• Certified Fiduciary & Investment Risk Specialist (CFIRS) certification required or willing to obtain certification.
• Minimum of three years Trust experience or compliance experience preferred
• Proficient in Microsoft Office products, existing wealth management hardware/software preferred or demonstrated ability to learn quickly.

Preferred Talents:

• Accurate and detailed
• Organized
• Analytical and problem solver
• Time efficient and deadline driven
• Self-directed and takes initiative
• Effective written and verbal communicator
• Independent with good judgment

Working Environment:

Light work and ability to lift and/or carry up to 20 pounds occasionally.

Occasional exposure to outdoor elements or hazards.

This role is eligible for hybrid work from home opportunity under the work from home guidelines upon completion of onboarding.

PLEASE VIEW THE APPLICANT TERMS & CONDITIONS BEFORE PROCEEDING WITH YOUR APPLICATION.