10+ years in financial services, trust, compliance, or risk management
Experience with trust accounting systems and compliance technologies
Advanced proficiency in Microsoft Excel
Strong written, verbal, and interpersonal communication skills
Demonstrated ability to manage multiple priorities and deadlines effectively
Commitment to ongoing professional development and education
Industry certifications like CTFA or CFIRS are a plus
Responsibilities
Support regulatory examinations and internal audits with timely and accurate responses
Analyze and organize data from various business platforms for compliance objectives
Prepare materials for account review meetings to enhance governance
Conduct compliance risk assessments using Lexis Diligence and OFAC reports
Review workflows for new accounts and fee forms to ensure regulatory compliance
Monitor account data for accuracy and identify process improvement opportunities
Collaborate on compliance training initiatives and promote a culture of accountability
Benefits
Medical, dental, and vision insurance
Life and long-term disability insurance
401(k) plan with company match
Performance bonus opportunities
Support for professional development and continuing education
Full Job Description
POSITION SUMMARY
The AVP, Compliance and Controls Analyst will be responsible for assisting with compliance assignments and regulatory exams. In this role, it is critical to collaborate with internal personnel across all departments and locations of the company.
PRIMARY RESPONSIBILITIES
Exams and Audits
Serve as a key resource in supporting regulatory examinations and internal audits, ensuring timely, accurate, and comprehensive responses to information requests.
Gather, analyze, and organize data from trust accounting systems, Laserfiche, Salesforce, and other business platforms to support compliance and audit objectives.
Regulatory Compliance
Prepare and coordinate account review meeting materials, agendas, and minutes to support effective governance and regulatory oversight.
Conduct Lexis Diligence searches and review OFAC, FinCEN, and 314(a) reports to identify, assess, and escalate potential compliance risks.
Internal Controls and Testing
Review and approve new account, account closing, and fee form workflows to ensure compliance with regulatory requirements, internal policies, and operational standards.
Monitor account data for completeness, accuracy, and consistency, identifying and addressing control gaps and process improvement opportunities.
Contribute to the development, implementation, and enhancement of sustainable compliance and control processes that strengthen the organization's risk management framework.
Education and Training
Collaborate with business partners to develop, document, and support compliance-related training initiatives and operational best practices.
Promote a culture of compliance, accountability, and continuous improvement across the organization.
Business Support
Assist with client relationship reviews.
Monitor and complete business license renewals and regulatory filings as required to maintain organizational compliance.
Support strategic and operational initiatives and perform other duties as assigned.
Other duties as assigned
DESIRED EDUCATION
Bachelor's degree preferred, but not required
Industry certifications such as CTFA, CFIRS, or similar credentials are advantageous
Demonstrated commitment to ongoing professional development and continuing education
DESIRED EXPERIENCE
10+ years of professional office or financial services experience, preferably in trust, compliance, risk management, or related fields.
Experience working with trust accounting systems and compliance-related technologies.
Advanced proficiency in Microsoft Office applications, particularly Excel.
Excellent written, verbal, and interpersonal communication skills.
Strong organizational and project management abilities, with the capacity to manage multiple priorities and deadlines effectively.
Ability to perform advanced mathematical and analytical calculations, including fee calculations and other percentage-based analyses.
Demonstrated aptitude for learning new systems, processes, and technologies, with a desire to grow professionally within the organization.
PERSONAL CHARACTERISTICS
Exceptional attention to detail and commitment to accuracy
Strong relationship-building and collaboration skills
Effective verbal and written communication abilities
High integrity, professionalism, and a strong work ethic
Team-oriented mindset with a commitment to supporting organizational success
Highly organized with excellent time management and prioritization skills
Valid driver's license and ability to travel by airplane as required
COMPENSATION
A competitive base salary, performance bonus, and benefit plans including medical, dental, vision, life, long term disability, and 401(k) with company match.
