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.
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%)
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 for a strong financial future well beyond their working years.
- Paid parental leave to support all team members with birth, adoption, and foster.
- Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
About Cetera Financial Group:
Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions.
Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology.
"Cetera Financial Group" refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC.
Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.
Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.
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