Role OverviewThe Senior Trust Compliance Analyst will conduct compliance monitoring, testing, risk assessments, regulatory reporting, and examination support. The role will collaborate across the organization to ensure policies, disclosures, and business practices meet regulatory requirements and industry standards.
What You Will Do
The Senior Compliance Analyst will support SEC and state regulatory examinations, research regulations, conduct compliance monitoring, and prepare regulatory filings. They will also review client disclosures, account documents, and trust agreements.
Why It Might Be a Fit
The ideal candidate will have five or more years of relevant compliance experience, knowledge of regulations governing investment advisers and trust companies, and strong analytical and communication skills.
Requirements
- Bachelor’s degree in business, finance, accounting, law, risk management, or a related field
- Five or more years of relevant compliance, regulatory, audit, risk, securities, investment advisory, registered fund, trust, or financial-services experience
- Experience supporting regulatory examinations and interacting with federal or state regulators
- Knowledge of regulations governing investment advisers, registered investment companies, trust companies, or wealth management organizations
- Experience with compliance testing, risk assessments, regulatory filings, policies and procedures, or issue remediation
- Strong analytical, research, communication, organizational, and documentation skills
- Ability to manage multiple priorities, exercise sound judgment, protect confidential information, and collaborate across the organization
- Proficiency with Microsoft Office and compliance, document-management, or regulatory-filing systems
- Professional certification such as IACCP, CRCP, CRCM, or a comparable designation is preferred but not required
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