Compliance Specialist

4 days ago


Reno, Nevada, United States Sequent Full time

About Sequent

Sequent, a global fiduciary services organization, is seeking a skilled Compliance Specialist to join our team in Reno, Nevada. As a key member of our compliance function, you will play a critical role in ensuring the company's trust operations are conducted ethically and in full compliance with regulatory guidelines.

Job Summary

We are looking for an experienced professional with a strong understanding of trust laws, regulations, and industry best practices. The successful candidate will be responsible for monitoring and interpreting relevant laws and regulations, developing and implementing policies and procedures, and conducting regular compliance risk assessments.

Responsibilities

  • Regulatory Compliance: Monitor and interpret relevant laws and regulations affecting trust operations, and ensure the organization's practices are compliant.
  • Policy Development: Develop, implement, and maintain policies and procedures that align with both regulatory requirements and the company's strategic objectives.
  • Risk Assessment: Conduct regular compliance risk assessments to identify potential areas of vulnerability and develop corrective action plans for resolution of problematic issues.
  • Internal Audits: Provide support and liaise during external internal audits to ensure trust activities comply with established policies and regulatory requirements.
  • Reporting: Prepare and present reports on compliance activities, audit findings, and risk assessments to senior management.
  • Liaison with Regulators: Act as a point of contact with primary regulators concerning trust examinations and compliance matters.
  • Support Compliance Function: Assist other compliance functions within the company in their responsibilities as needed.

Requirements

  • Education: Bachelor's degree in law, finance, business administration, or a related field.
  • Experience: Minimum of 3-5 years of experience in trust administration, compliance, legal, or regulatory roles within the financial services industry.
  • Knowledge: Strong understanding of trust/fiduciary laws, regulations, and industry best practices.
  • Skills:
    • Excellent analytical and problem-solving abilities.
    • Strong attention to detail and ability to handle complex regulatory requirements.
    • Exceptional communication and interpersonal skills.
    • Able to manage multiple tasks and prioritize effectively in a fast-paced environment.
    • High level of integrity and ethical standards.

Salary Range: $80,000 - $110,000 per annum, depending on experience.



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