Trust Compliance Officer

Job Description Cetera Trust Company (CTC) is an affiliate of Cetera Financial Group, a premier wealth advisory organization specializing in providing personalized investment management services. A key component of this role is developing strong working relationships with the financial professionals who partner with Cetera Trust to service their mutual clients and stakeholders. The Trust Compliance Officer manages the compliance duties and responsibilities for CTC and ensures that all activities adhere to laws, regulations and internal policies. The Trust Compliance Officer will maintain effective compliance policies and procedures to minimize risk and promote compliance within the organization. Success is defined primarily through maintaining the highest levels of compliance, best practices, and adhering to all applicable laws and regulations. This is a hybrid work schedule for our St. Paul, MN OR Dallas, TX office hubs; or a remote work option for candidates located in New Hampshire (including Massachusetts north of Boston). What You Will Do Manage an effective compliance program that adheres to all federal and state laws, rules and regulations. Regularly review and recommend updates to CTC’s processes, procedures and policies to ensure adherence to applicable laws, regulations and Cetera’s policies and procedures Work with other compliance affiliates within Cetera Financial Group, including the CISO and internal audit. Participate in risk management activities, including monitoring the effectiveness of internal controls and procedures, and working with the Chief Compliance Officer to develop strategies to mitigate those risks. Perform periodic testing pertaining to CTC’s compliance program and oversight of its vendors and service providers Work with the Chief Compliance Officer to develop and deliver compliance training to CTC employees, including BSA/AML. Maintain timely and comprehensive records of compliance activities, including findings and corrective actions Identify and escalate any potential violations to CTC senior management. Prepare all materials related to compliance activities for CTC committee and Board meetings in cooperation with Chief Compliance Officer. Maintain and coordinate testing of the Business Continuation Plan. Serve as Secretary for committee meetings, Security Officer and Privacy Coordinator for CTC. Screen entities and transactions against the OFAC sanctions list 314(a) Scans. What You Need To Have Bachelor's degree Professional certification such as Certified Fiduciary & Investment Risk Specialist (CFRIS) or Certified Trust and Fiduciary Advisor (CTFA) highly preferred. A minimum of 6 years of experience in a compliance role within the banking or financial services industry. Strong organizational, multi-tasking and analytical skills Outstanding written and verbal communication abilities Effective problem-solving and decision-making abilities while working both independently and as part of a team. Experience in maintaining successful compliance programs Experience in the Microsoft Suite of applications: Excel, Word, Outlook, SharePoint, and Access. Travel Requirements: Up to (5%) Compensation The base annual salary range for this role is $85,000 to $125,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. About Us ABOUT US What We Give You In Return Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. Easy access to mental health benefits to meet our team members and their families where they are. 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead