Sr. Compliance Officer

4 weeks ago

Kansas City, United States National Advisors Trust Company Full time
Are you looking to make a significant impact in the financial services industry?

If so, then a leadership role in estate planning and trust services could be right for you. At their core, we believe trusts are about families and the selfless pursuit of acting today to protect future generations - ultimately creating enduring value and legacies. As a leader, that gives you the unique opportunity to have a positive impact on the lives of families and to make a lasting mark on the industry - for today and tomorrow. This position is a unique opportunity for a high potential high performer who could be considered for advancement and back up to the Chief Compliance Officer

Why join us?We are redefining the trust services industry - and are looking for experienced individuals who want to help lead the way. We are a dynamic, collegial, and evolving culture that invests in top talent and rewards collaboration, curiosity and innovation. As a leader, you will guide an in-house team with deep expertise, decades of experience, and a commitment to shaping what's next for advisors, families, and our industry. By joining National Advisors, you'll be working with diverse teams to ensure compliance and improve processes.

Overview

Established in 2001, National Advisors is a premier independent trust company committed to empowering financial advisors and families to create enduring legacies. We provide directed trustee services and hold both a national trust charter and a progressive South Dakota state trust charter to give clients greater flexibility, customization and control of their estate plans. Based in Kansas City, our strong asset base, growing network of advisors and clients, and proven in-house experts continue to position National Advisors as a leading brand and oneof largest and most advisor-friendly trust companies in the nation.

Compliance Duties

  • Assist with evaluating, maintaining, and managing the compliance program for National Advisors Trust Company (NATC) and National Advisors Trust of South Dakota, Inc. (NATSD).
  • Evaluate, maintain, and manage risk assessment methodology, annual assessment, and control-risk matrix.
  • Produces and maintains Policy Manual and related procedures, and works with departments to draft, modify, and implement company policies, procedures & controls.
  • Monitor and ensure compliance with applicable banking laws, regulations, and guidelines. This includes staying up to date with changes in regulations and assessing their impact on the bank's operations. Work closely with regulatory agencies to address inquiries, examinations, and audits.
  • Facilitates Safety and Soundness Examinations, remediation, monitoring, and the reporting processes.
  • Develop, evaluate, and ensure documentation of risk mitigation controls and evaluate the effectiveness and efficiency of controls to ensure compliance with company policies.
  • Establish monitoring processes or tools to assess compliance with internal policies and external regulations.
  • Helps develop annual compliance testing schedule.
  • Prepares periodic Compliance Officer Reports and dashboard for the Enterprise Risk Committee and Board of Directors' Audit & Risk Committee.
  • Provides oversight and monitoring of the vendor management
  • Serves as a resource to compliance officers in RIA firms, such as providing due diligence information on National Advisors, reviewing marketing materials, etc.
  • Develop and deliver compliance training programs to educate employees about regulatory requirements and their obligations. This includes providing ongoing training to ensure that employees have a strong understanding of compliance policies and procedures.
  • Assists with the management of the Compliance team hiring, promotion, and review process. Coaches and develops team members to ensure the needs of the company are met in the manner necessary to ensure the effectiveness of staff.
  • Anticipate potential risk issues pertaining to all facets of the operation while presenting and implementing proactive solutions.
  • Provides oversight of business continuity and disaster recovery plans and
  • Maintain compliance with BSA/AML/OFAC-related laws and regulations as it applies within the scope of this position, including but not limited to, prompt completion of required BSA/AML/OFAC training.
  • Other duties as assigned.
Information Security Officer Duties
  • Develop, implement, and monitor a strategic, comprehensive information security program.
  • Prepares periodic Information Security Officer Reports and dashboard for the Enterprise Risk Committee and Board of Directors' Audit & Risk Committee.
  • Work directly with the Director of Information Technology, business units, as well as third-party vendors to facilitate an annual information security risk assessment.
  • Develop and enhance an information security management framework.
  • Understand and interact with related disciplines through committees to ensure the consistent application of policies and standards across all technology projects, systems, and services.
  • Partner with business stakeholders across the company to raise awareness of information security concerns.
  • Lead investigations in the event of data security incidents. Assess the impact and implement appropriate remedial actions. This includes collaborating with internal teams, legal counsel, and regulatory agencies to resolve issues and prevent future occurrences.
  • Performs periodic physical and information security
  • Oversee and deliver Information Security training supporting/promoting improved data security awareness and education.
  • Facilitate annual IT General Controls Audit and annual assessment of the information security program.
Knowledge & Skills

Minimum
  • Strong working and in-depth knowledge of compliance regulations governing banking and trust services and other areas to include fiduciary and custody activities, information security and third-party risk management.
  • Strong leadership skills including the ability to develop and maintain rapport with co-workers to effectively obtain and communicate compliance information.
  • Identify and assess regulatory compliance risks and develop appropriate strategies to mitigate risk.
  • Strong analytical and data sorting skills to effectively detect patterns and conditions through observing processes.
  • Organized with ability to maintain a complex annual review calendar.
  • Ability to work independently.
  • Excellent written and verbal communication skills and computer proficiency.
  • Experience with the COSO framework.
  • OCC regulatory examination expertise
  • Ability to be a high potential high performer who could be considered for advancement to Chief Compliance Officer
Requirements

Minimum
  • Bachelor's degree or equivalent.
  • 5+ years of compliance oversight responsibilities within a trust and custody bank setting.
  • Relevant certification such as Certified Fiduciary and Investment Risk Specialist (CFIRS), Certified Regulatory Compliance Manager (CRCM), etc.
Target Competencies
  • Leadership and Management Skills/Managing Conflict.
  • Decision Making and Judgment.
  • Organizational and Time Management Skills/ Project Management.
  • Critical Thinking and Problem Solving-Analysis/Root Cause/Research.
  • Attention to Detail and Accuracy.
  • Teamwork, Mentoring and Collaboration/Relate with Peers.
  • Flexibility/Adaptability
  • Communication / Public Speaking.
  • Knowledge of applicable laws and regulations.
  • Regulatory Filings and Reporting.
  • Report writing.
  • Risk Assessments.
  • Compliance Training and Development.
  • Compliance Testing Program and Monitoring.
  • Policy Development and Implementation.
  • Data Privacy and Security.
  • Incident Response and Crisis Management.
  • Anti-Money Laundering (AML) and Know Your Customer (KYC).
  • Corporate Governance.
  • Achievement Orientation.
  • Technology Proficiency


We're inspired by our company values, committed to diversity, equity, and inclusion, and strive to create a positive, purposeful and productive environment where everyone can thrive.

WORK ENVIRONMENT: Professional, business setting.

Benefits: National Advisors offers a wide range of employee benefits including 401K with company match, medical, vision and dental healthcare plans, paid time off, professional growth and internal promotion opportunities due to continuous organizational growth. NAH offers a competitive salary.

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)

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