Compliance Officer

2 weeks ago

Knoxville, United States The Trust Company of Tennessee Full time
Job DescriptionJob DescriptionSalary:

Why We Exist

At The Trust Company of Tennessee, we believe everyone can live confidently and reach their financial goals. Would you like to be part of a team that works with individuals, families, businesses, and foundations to identify what success looks like and formulate a plan to get there? Come join our team of Wealth Management, Trust, Estate Administration, and Corporate Retirement Plan professionals who proudly help clients achieve their dreams.

 

Core Purpose

The Compliance Officer, located in Knoxville, TN, will be responsible for monitoring the wealth management and trust compliance program and advising the CLO on significant risk and compliance issues. The Compliance Officer will be tasked with implementing procedures to ensure that the compliance programs in wealth management and trust are effective and efficient in identifying, preventing, detecting, and correcting noncompliance with applicable laws, regulations, and company policies.    


Inclusion Statement

The Trust Company strives to continuously develop our company-wide identity to ensure people feel comfortable, safe, and valued through open, proactive communication. Our goal in doing so is to allow individuals to be heard, accepted, and celebrated for their differences.

 

Responsibilities

  • Shows a commitment to The Trust Company’s Mission, Core Values, and Client Promise.
  • Oversees wealth management and trust compliance—including testing and monitoring functions, documenting findings, and offering meaningful recommendations.
  • Implements and maintains compliance risk assessment process to evaluate TTC’s ongoing compliance with regulatory requirements and applicable policies and procedures.
  • Identifies, measures, and monitors compliance risk in accordance with relevant trust and banking laws and best practices.
  • Advises management on existing and new regulations in the areas of banking and wealth management as they occur and how they affect the firm and its clients.
  • Reviews and updates TTC’s corporate, wealth management, and trust policies and procedures.
  • Coordinates the audit process with external auditors and state regulators, including the preparation for examinations.
  • Manages other wealth management and trust compliance specialists.
  • Regularly performs quality control reviews and monitoring pertaining to the Bank Secrecy Act, USA Patriot Act, Anti-Money Laundering Program, OFAC, and Customer Identification Program.
  • Develops compliance training to educate staff on new/updated industry regulations.
  • Creates and reviews document destruction and retention policy.
  • Oversees vendor management through NContract software.
  • Serves as BSA Officer
  • Prepares agenda and minutes for the Risk Management & Compliance Committee.
  • Other tasks as assigned.

 

Qualifications

  • Bachelor’s degree from an accredited institution required, JD a plus
  • Certified Regulatory Compliance Manager (CRCM) certification a plus
  • 5+ years’ experience in banking and/or trust compliance
  • Exhibits highest ethical standards
  • Excellent attention to detail
  • Excellent organizational and time management skills
  • Excellent interpersonal skills
  • Excellent problem-solving abilities
  • Strong written and verbal communication skills

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