Cnect

Trust Compliance Officer

Cnect

full-time

Posted on:

Location Type: Hybrid

Location: Dallas • Texas • United States

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Salary

💰 $90,000 - $125,000 per year

About the role

  • 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.
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
compliance program managementrisk managementinternal controlsBSA/AML compliancecompliance trainingvendor oversighttesting of compliance programsOFAC sanctions screeningBusiness Continuation Plan testing
Soft Skills
organizational skillsmulti-taskinganalytical skillswritten communicationverbal communicationproblem-solvingdecision-makingteam collaborationindependent work
Certifications
Bachelor's degreeCertified Fiduciary & Investment Risk Specialist (CFRIS)Certified Trust and Fiduciary Advisor (CTFA)