Trust Risk and Compliance Manager
2 weeks ago
Amalgamated Bank is in search of a Trust Risk and Compliance Manager to oversee the Compliance and Risk Management Program for the Bank's Investment Management Division/Trust Department. This role is pivotal in ensuring adherence to relevant federal and state laws, contractual obligations, and internal policies of the Trust department.
By becoming part of our organization, you will be joining a Bank that values diversity and inclusivity, recognizing that a workplace where everyone feels respected and valued is essential for our growth as a company.
We are committed to fostering a more equitable world through our daily practices, aligning with the values of our employees and customers.
Key Responsibilities:
1. Manage compliance and risk protocols for the Bank's Investment Management Division/Trust Department.
2. Monitor adherence to federal and state fiduciary, securities, investment regulations, ERISA, FDIC, and New York State Banking regulatory requirements, along with BSA/AML regulations and DOL reporting obligations.
3. Conduct periodic reviews to ensure compliance with Trust department policies and procedures, covering areas such as fixed income and equity portfolio management, broker/dealers, securities trading, record keeping, account administration, collective investment funds, and conflict of interest management.
4. Establish and maintain effective policies for all trust operational and investment processes.
5. Review and authorize all new portfolio/account openings to confirm that all necessary legal documentation is secured in accordance with internal policies and regulatory standards.
6. Prepare compliance and risk management oversight committee meeting materials to guarantee timely and accurate reporting to oversight committees.
7. Supervise investment and administrative account evaluations to ensure significant issues are escalated to oversight committees.
8. Assess the internal control systems in place to protect trust assets as appropriate.
9. Conduct compliance monitoring for internally managed fixed income and equity accounts for reporting to oversight committee meetings.
10. Oversee the process for managing client complaints to ensure compliance with Bank-wide requirements.
11. Facilitate periodic training sessions for Trust personnel regarding regulatory requirements.
12. Assist in vendor management for Trust department vendors, which includes obtaining quarterly compliance certifications from sub-advisors, reporting results to management and oversight committees, and evaluating due diligence on new Trust-related vendors.
13. Perform additional duties as assigned.
Qualifications:
- Bachelor's degree or equivalent experience.
- A minimum of 7+ years of trust compliance or relevant financial services operational and compliance experience serving an institutional client base.
- In-depth knowledge of trading, investment management systems, and operational platforms.
- Comprehensive understanding of trust administration policies and procedures.
- Exceptional verbal and written communication skills, along with supervisory capabilities.
- Proficient in MS Office applications.
Our job titles may encompass multiple career levels. The starting base salary for this role is competitive and commensurate with experience and qualifications.
Amalgamated Bank is an Equal Opportunity and Affirmative Action Employer, welcoming applications from Minorities, Females, Individuals with Disabilities, and Veterans.
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