Who are you?

You're an experienced compliance professional who can confidently navigate complex regulations, evaluate risk, and provide thoughtful guidance to leaders. At C&N, we're seeking a Wealth Management Senior Compliance Officer to provide independent compliance oversight for our Wealth Management division.

In this role, you'll oversee compliance monitoring and testing, interpret regulatory requirements, evaluate risks and controls, govern policies and procedures, and coordinate audit and examination activities. You'll also serve as a trusted compliance resource to Wealth Management leadership. If you enjoy combining regulatory expertise, independent judgment, and strategic partnership to strengthen a compliance program, this could be an exciting next step in your career.

You will be responsible for:

1. Compliance Oversight & Governance: Provide independent oversight of the Wealth Management compliance program, including BSA/OFAC activities, regulatory interpretation, risk assessments, Reg. 9 reviews, and policy and procedure governance.
2. Monitoring, Testing & Risk Management: Oversee and evaluate risk-based compliance monitoring and testing, assess fiduciary controls and operational activities, identify compliance weaknesses, and recommend and monitor corrective actions.
3. Regulatory Guidance & Leadership Support: Serve as a compliance resource to Wealth Management leadership by interpreting regulatory requirements, evaluating emerging compliance issues, providing recommendations, and delivering compliance reporting and training.
4. Audit & Examination Coordination: Coordinate internal and external audits and regulatory examinations, evaluate findings, oversee responses and documentation, and assist management with corrective action and remediation plans.
5. Program Oversight: Oversee C&N's Medallion Stamp Program, including training and certification requirements, program controls, documentation, and ongoing guidance to Bank staff.

Requirements:

Education & Experience - You will need a Bachelor's Degree in a related field AND one 4-6 years of previous related experience and/or training OR an equivalent combination of education and experience. AMaster's Degree in a related field, including an MA or MBA, is preferred.

Preferred Certifications - Certified Trust and Fiduciary Advisor (CTFA), Certified Fiduciary & Investment Risk Specialist (CFIRS), or Certified Regulatory Compliance Manager (CRCM).

Skills - You should possess well-developed abilities and a proven track record in the following areas:

• Strong Communication
• Attention to Detail
• Research Skills
• Analytical Skills
• Regulatory Interpretation
• Compliance & Risk Management
• Critical Thinking
• Strategic Thinking
• Problem Solving & Decision Making
• Relationship Management
• Collaboration & Influence

Key Competencies - The combination of skills, behaviors, and attributes required to perform effectively in a role and achieve organizational goals include:

• Drives Results: Achieves goals despite challenges and motivates others to deliver strong outcomes.
• Ensures Accountability: Takes ownership, follows through on commitments, and holds self and others responsible for results.
• Customer Focus: Delivers tailored solutions, exceeds expectations, and builds strong customer relationships.
• Manages Complexity: Analyzes situations, gathers data, and evaluates options to solve complex problems effectively.
• Interpersonal Savvy: Builds positive relationships across levels, functions, and cultures with diplomacy and tact.
• Drives Vision & Purpose: Inspires optimism for the future, rallies support for organizational goals, and communicates a relatable and motivating vision.