Advisor Group

Trust Compliance Officer

Advisor Group • $90K — $105K *
Henderson, NV 89052In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's Degree preferred or significant practical experience in lieu of degree
  • Minimum 7+ years in financial services
  • Solid knowledge of Trust operations and applicable laws
  • Strong analytical and problem-solving abilities
  • Excellent communication and interpersonal skills
  • Detail-oriented with strong documentation management pace

Responsibilities

  • Create and maintain compliance policies and procedures
  • Develop and assess compliance audits and internal controls
  • Act as a point of contact for auditors
  • Research and communicate regulatory changes
  • Conduct staff training on regulatory requirements
  • Monitor potential legal issues
  • Oversee personnel actions in the compliance team

Benefits

  • Health, vision, dental insurance
  • 401k retirement plan
  • Vacation and sick time
  • Volunteer days
  • Comprehensive total compensation package
Full Job Description
Trust Compliance Officer, Premier Trust

Location(s):

4465 South Jones Boulevard, Las Vegas, NV 89103

Role Type:

Full time (5 Days Weekly in Office)

Salary:

$90,000 - $105,000 per year + annual bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education.

Our competitive salaries are just one component of Osaic's total compensation package. Additional benefits include: health, vision, dental insurance, 401k, vacation and sick time, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits

Summary:

We are seeking a detail-oriented and driven individual to join the Premier Trust team. The Compliance Officer is responsible for overseeing the compliance and risk management processes, ensuring the company adheres to relevant laws, regulations, and internal policies and procedures. They will work closely with the Director of Operations in leading the compliance team in assessing and mitigating the company's financial and legal risks.

Responsibilities:
  • Create and maintain policies and procedures
  • Assess, maintain and develop the compliance audit processes and internal controls
  • Point of contact for internal and external auditors
  • Research and stay current on regulatory changes and communicate important industry changes
  • Conduct periodic training with staff regarding regulatory requirements
  • Monitor potential legal matters
  • Perform personnel actions including but not limited to performance assessments, disciplinary actions, delegation of workload, and approving work schedules
  • Comply with Bank Secrecy Act (BSA), OFAC Anti-Money Laundering (AML), and compliance policies related to job duties
  • Maintain strict confidentiality of all records and data received


Education Requirements:
  • Bachelor's Degree preferred, High School Diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.


Basic Requirements:
  • Solid Trust knowledge
  • Knowledge of applicable trust laws and regulations
  • Strong analytical and problem-solving skills
  • Excellent communication and interpersonal skills
  • Detail-oriented with ability to manage complex data and documentation
  • 7+ years of experience in financial services


Preferred Requirements:
  • Possession of a professional designation such as Certified Fiduciary & Investment Risk Specialist (CIFRS)
  • 5+ years of experience specific to Trust industry or in a compliance role

About Advisor Group

Advisor Group is one of the largest networks of independent wealth management firms in the United States. The company provides a range of services to financial advisors, including technology, investment management, compliance, and marketing support. Advisor Group was founded in 2016 and is headquartered in Phoenix, Arizona. The company has more than 7,000 employees and serves over 11,000 financial advisors across the country.
Learn more about Advisor Group
Size
7,000 employees
Industry
Finance & Insurance
* Ladders Estimates

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