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In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
Min 10 yrs required
SVP, Trust Compliance Director Duties: Responsible for the compliance functions of a national trust bank. Work closely with the General Counsel to ensure that the activities of bank are in compliance with all applicable legal and regulatory requirements. Support the internal business functions of bank, including through the review of products and marketing plans and the preparation of materials for board meetings and certain board and management committee meetings. Assist with the development of procedures for the fiduciary review of personal and institutional trust accounts. Provide day-to-day fiduciary risk assessment and management for bank. Advise on and coordinate with respect to corporate governance issues and regulatory issues. Coordinate all regulatory filings. Coordinate relationships with service providers in conformance with all applicable laws, rules and regulations. Advise on the creation of new fiduciary and investment products. Maintain and update policies and procedures. Review all external marketing materials and RFPs. Compliance coverage to all aspects of the trust business. Work closely with Legal and Compliance. Manage regulatory exams and handle requests for information. Liaise with other departments on any regulatory inquiries. Create and assist in the execution of internal compliance function testing and remediation. Coordinate relationship with NB Internal Audit. Monitor and research new regulatory developments and requirements; propose and execute solutions to help ensure NBTC compliance with new requirements. Oversee all fiduciary activities from a compliance perspective. Coordinate compliance with KYC/AML/BSA policies and procedures, act as designated AML compliance officer and conduct all related activities required in that role. Create internal training materials and conduct annual training plan. Review and investigate client complaints and/or inquiries regarding policies and procedures.
Qualification and Experience
Qualifications: Undergraduate degree with 10+ years of in-house experience at a national bank, wealth management firm or trust company. Private practice experience a plus. Regulatory experience. Knowledge of regulatory governance for corporate fiduciaries as well as securities laws, strong knowledge of investment products and prudent investor standards for fiduciary investment management, as well as familiarity with fiduciary investment management principles, and wealth transfer planning strategies and structures. Knowledge of securities laws, rules and regulations particularly in the context of a trust company structure within a broker-dealer environment. Familiarity with fiduciary laws and ERISA. Knowledge of fiduciary administration and applicable laws, rules and regulations as well as fiduciary, gift and estate tax preparation and wealth planning expertise. Knowledge of applicable state and federal banking laws and regulations along with bank services, policies and procedures. Knowledge of investment products and prudent investor standards for fiduciary investment management.
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