Trust and Investment Risk and Compliance Officer (Hybrid)

Value Proposition

Our values define us and our culture inspires us to change lives for the better. Our employees are the heart and soul of our company, and every success we experience begins with them. Together we are committed to making a positive impact in our local communities. We champion a culture of continuous learning, work-life integration, and inclusion. We promote a digitally enabled work environment to continuously enhance the experience of our employees and customers.

Overview

Complete risk assessments for FFA, coordinate with relevant areas, management and staff both within and outside the department. Maintain policy, procedure and process documentation for reference and compliance purposes. Implement compliance, audit, and regulatory processes to ensure a high level of compliance with legal, regulatory and risk management requirements, including BSA, AML and Investment compliance as critical components. This position involves a significant focus on regulatory compliance, risk management and information processing.

Responsibilities

• Develop and perform risk assessments with management team. Implement compliance, audit and regulatory related processes to ensure a high level of compliance with legal, regulatory, and risk management requirements. BSA, AML and Investments compliance is a critical component. Works to support first Line of Defense operations. Delivers periodic reports related to risk management activities.
• Responsible for managing Key Risk Indicators including informing Management of issues and ensuring appropriate resolution. Manage and monitor key risk indicators and provide timely and actionable information to enable Management to make informed decisions.
• Maintain policy, procedure and process documentation for reference and compliance purposes. Guide management team on process and problem solving. Maintain effective communication of system projects to management and staff of advisors.
• Assist all of FFA with the day-to-day functionality of the corporate CRM system including the training of individuals, preparing, revising and updating process guides and general assistance with the adherence to best practices by users of the CRM system.
• Facilitate process development and identify opportunities for improved performance and deliver recommendations to senior leaders. Drive improvements to key initiatives that transform business units' operations, including processes and systems, particularly regulatory compliance, risk management and information processing. Ensure deliverables are on time. Reviews and recommends new methods and systems to maintain an optimum level risk process and efficiency within advisors.
• Collaborate in the development and implementation of information system and processes to ensure effective systems deployment and process execution which minimizes risk, standardizes processes and complies with the regulations.

 

Qualifications

Education

Bachelor Degree or the equivalent experience. Specialty: business, finance, accounting, communications, information technology. (Required)

Experience

3 or more years trust administration management, trust processes compliance oversight. (Required)

 

5 or more years trust business experience. (Preferred)

Certifications

Member of Fiduciary and Investment Risk Management Association, ABA National Graduate Trust School Graduate, or other Cannon Trust School Certifications. (Preferred)

 

Certified Securities Operations Professional (Cannon). (Preferred)

Knowledge, Skills, and Abilities

• Ability to guide, inspire, and influence cross-functional teams (Required)
• Team player with a professional presence able to influence all levels of the organization (Required)
• Financial Institution Business acumen (Required)
• Excellent communication and interpersonal skills to collaborate effectively with stakeholders (Required)

 

 Other Duties as Assigned by Manager

This role may perform other job duties as assigned by the manager. Each employee of the Organization, regardless of position, is accountable for reading, understanding and acting on the contents of all Company-assigned and/or job related Compliance Programs, regulations and policies and procedures, as well as ensure that all Compliance Training assignments are completed by established due dates. This includes but is not limited to, understanding and identifying compliance risks impacting their department(s), ensuring compliance with applicable laws or regulations, and escalating compliance risks to the appropriate level of management.

Pay Transparency

To provide greater transparency to candidates, we share base salary ranges on all job postings regardless of state