Wealth Management Regulatory & Reporting Lead

October 25

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HTLF

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

🏦 Banking

💸 Finance

💳 Fintech

Description

• The Wealth Management (WM) Regulatory and Reporting Lead is responsible for ensuring and evidencing department and HTLF member bank compliance with policy and regulatory requirements. • This role is the liaison with internal and external groups to ensure compliance with controls and to mitigate risk associated with the WM line of business. • This person also leads compliance, audit, and regulatory examinations of WM. • Leads coordination of internal/external audits, BSA/AML examinations, and FDIC/State examinations associated with WM administration and operations for HTLF member banks. • Maintains and ensures accuracy of reports in accordance with department policy and regulatory requirements in accordance with deadlines. • Primary owner of policy and committee charters. • Collaborates in the development, drafting, oversight and review of processes and procedures to ensure compliance. • Responsible for tracking and the resolution of any audit, risk, or regulatory findings and coordinates research of compliance issues as they relate to the administration of WM accounts. • Acts as the primary WM liaison for HTLF Bank Secrecy Act (BSA), Risk Management, Compliance, Internal Audit, Finance, and Information Security departments and completes related requirements including associated required annual training. • Maintains and provides reports required for WM management, RPS management, audit, and internal compliance and ensures accuracy of reporting. • Facilitates Oversight Committee meetings and prepares administrative reports required for the DB&T Trust Committee meetings. • Oversees all system access as it pertains to WM. • Maintains a working knowledge of existing laws, rules, regulations and fiduciary principals and understanding of new/proposed laws, rules and regulations. • Completes annual E-Learning Plan and Bank Secrecy Act (BSA) training as assigned and keeps up-to-date knowledge of BSA as it relates to the job function. • Performs other duties as assigned.

Requirements

• Bachelors required or 3-5 years Personal wealth and trust experience, with trust compliance experience. • Experience with trust accounting software; web browsers and research applications. • A solid understanding of legal and financial terminology. • Superior organizational skills and ability to meet specific deadlines. • Strong problem solving skills with a very high attention to detail. • Ability to be proactive, forward thinking and resourceful. • Demonstrated strategic thinking, analytical reasoning and process management skills. • Ability to effectively present complex information in formal presentations or to individuals or small groups. • Demonstrated record of excellent service skills. • Advanced knowledge of MS Word, Excel, Outlook, PowerPoint.

Benefits

• Paid Time Off • 401(k) matching program • Annual incentive pay • Paid holidays • Comprehensive company sponsored benefit plan including medical, dental, vision, and other insurance coverage • Health savings, flexible spending, and dependent care accounts • Employee assistance program • Tuition reimbursement • Various associate banking benefits