VP & Compliance Officer III responsible for compliance support at Open Bank. Delivering compliance testing and training while managing regulatory requirements in the financial sector.
About the role
- Trust & Wealth Compliance and Reporting Specialist at Peoples Bank ensuring fiduciary compliance and reporting functionality. Collaborating with various departments to maintain regulatory readiness and proper reporting.
Responsibilities
- The Trust & Wealth Compliance and Reporting Specialist supports fiduciary reporting, incentive processing and compliance functions for Trust & Investment Services
- This role is responsible for preparing and validating related reports, supporting fiduciary compliance monitoring, and ensuring adherence to applicable federal and state trust regulations, governing instruments, and internal fiduciary policies.
- The specialist collaborates closely with Trust Operations, Compliance, Risk, Financial Accounting & Reporting, Payroll and Audit to maintain a strong fiduciary control environment and regulatory readiness.
- Prepare internal reports including but not limited to business line review, profitability, monthly sales reports and performance coaching summaries.
- Prepare external reports including but not limited to regulator reporting (Regulation H and R) and certain Securities and Exchange Commission Filings.
- Process and balance of monthly revenue and expenses.
- Prepare and maintain consistent reporting for internal and director committees.
- Assist Trust & Investment Services staff to help build effective workflows and ensure processes are working as designed.
- Lead the medallion STAMP program working with retail staff to ensure proper coverage, training, audits, stamp allocation, and audits.
- Assist in preparation of annual budget, forecasting and monitor fluctuations during the year.
- Support and provide back-up coverage to other areas of Trust Operations.
Requirements
- Bachelor’s in finance, accounting, or business management or equivalent work experience
- 3-5 years’ experience in brokerage or trust fiduciary services, or financial institution regulatory roles
- CFIRS, Certified Fiduciary & Investment Risk Specialist required or willingness to obtain
- Familiarity with brokerage and/or fiduciary regulations
- Strong knowledge of brokerage and/or fiduciary compliance standards
- Excellent organizational, analytical and problem-solving skills
- Proficiency in Microsoft Office Excel and Access and compliance software
- Strong written and verbal communication skills
- Reporting and presentation skills
- Ability to consolidate large amounts of information into usable and executable reports
- Strong attention to detail and accuracy
- Ability to manage multiple priorities while meeting deadlines
- Team player.
Benefits
- 401(k) retirement plan with an employer match
- employee stock purchase plan
- various education assistance programs such as student loan and tuition paydown/reimbursement
- paid vacation
- holidays
- employee benefits package
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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