Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will help establish and operate a Compliance Management System while leading fiduciary compliance, third-party risk management, affiliate transactions, and other non-financial-crimes obligations. You will track regulatory developments, support compliance training, prepare committee and Board materials, and assist with examinations and audits.
Requirements
- 5+ years of compliance experience at a bank or trust company
- Fiduciary and trust compliance experience under 12 C.F.R. Part 9 or general non-financial-crimes compliance
- Strong knowledge of bank Compliance Management Systems and second-line oversight
- Experience with risk assessment monitoring testing issue management and reporting
- Understanding of conflicts-of-interest and self-dealing controls in a fiduciary context
- Exceptional writing and policy procedure and Board-material drafting skills
- Hands-on third-party risk management experience aligned to OCC Bulletin 2023-17
- Working knowledge of Regulation W and Sections 23A and 23B affiliate-transaction controls
- Exposure to digital assets stablecoins or fintech custody and payments
- Experience implementing AI and ML systems for compliance operations
- Experience with a de novo charter or OCC supervision
- CRCM or comparable certification
Responsibilities
- Help establish and operate the Compliance Management System
- Lead fiduciary compliance across custody investment management and trust activities
- Operate third-party risk management across the vendor lifecycle
- Oversee affiliate-provided services
- Administer affiliate transactions and intercompany activity
- Oversee Privacy UDAP and other non-financial-crimes compliance obligations
- Track regulatory developments
- Help deliver compliance training
- Prepare committee and Board materials
- Support examinations and audits