Wealth Compliance Officer Position Available In Jefferson, Alabama

Wealth Compliance Officer
Cadence Bank Birmingham, United States
Posted 7 hours ago Permanent Competitive
Wealth Compliance Officer
Cadence Bank Birmingham, United States
Wealth Compliance Officer
Develops, implements, and manages Asset Management & Trust Compliance. Executes process improvements and effectively leads departmental changes. Ensures compliance with all policies, procedures, federal and state regulatory requirements. Maintains a professional image through all levels of communication.

Principal Duties and Responsibilities:

• Serves as the Department liaison for audits and regulatory exams and provides ongoing supervision for issues tracking and remediation oversight
• Develops and maintains frameworks, guidelines, and standards for testing, monitoring, reporting, and other activities
• Establishes Department policies, procedures, and controls designed to meet regulatory requirements and communicate these as laws, guidance, or regulations change
• Contributes to Department goals through guidance and independent challenge
• Prepares regulatory filings and reports as required by governing agencies. This includes Personal Securities Transactions Reporting, Schedule RC-T, and Chiefly Compensated Ratio Test.
• Prepares Compliance reporting for the Trust Working Group and Management and Board-Level Committee Meetings on an ongoing basis
• Provides training and guidance to employees on regulatory compliance, fiduciary responsibilities, and ethical standards
• Works closely with other internal lines of business including BSA, Legal, and Enterprise Risk Management to ensure comprehensive compliance oversight
• Assists with Department projects, process improvements, and strategic initiatives to enhance Compliance function or as needed
• Fosters a culture of integrity, ethics, and compliance to manage and mitigate regulatory compliance risk
• Applies advanced skills in areas of specialization. Utilizes multiple compliance resources (seminars, computer-based training, conferences and manuals) to maintain the highest level of understanding of changes in the regulatory environment
  Job Specification
• Minimum of seven years in financial compliance, audit or trust operations
• Willingness to obtain Certified Fiduciary & Investment Risk Specialist (CFIRS) designation
• Knowledge of Federal and State compliance laws, rules, regulations, and procedures
• Exceptional work ethic, integrity, team spirit and judgment
• Strong written and verbal communication skills with the ability to present to employees, business partners and management
• Works under minimal supervision
  Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
  The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant.

However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor’s legal duty to furnish information. 41 CFR 60-1.35(c)
Job

ID COMPL003301

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