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Legal Staff in Appleton, WI

Thrivent Financial for Lutherans Nov 29,2014 Oct 20,2014 Location USA Appleton WI
This job is expired...

In-House

Legal Staff

Litigation - Whistleblower - CFTC

Trusts and Estates

Min 5 yrs required

Profile

Trust Compliance Officer Duties: Develops, maintains, and implements a comprehensive compliance program and applicable procedures for the Company designed to ensure compliance with existing and new applicable federal and state laws, regulations, and internally developed policies and procedures. Conducts regular, ongoing compliance audits and monitoring activities. Provides assistance and input to the Company's risk management program. Provides compliance support and counsel on regulatory and compliance requirements related to the Trust Company's business. Serves as the Company's BSA Officer. Serves as a liaison for regulators and auditors during routine and other examinations and audits. Maintains and administers the Trust Company's compliance program and applicable procedures, including regular and ongoing compliance audits and monitoring activities. Independently researches, advises and counsels staff and management on regulatory and compliance requirements related to the Trust Company's business, as well as serves as a subject matter expert on compliance related matters, including special projects and initiatives. Provides risk management advise and assistance to management and staff through involvement and participation in the Trust Company's risk management program. Provides training, including required BSA/AML training. Investigates customer complaints and issues and assists counsel on matters involving litigation that may affect the financial institution's compliance program. Serves as the liaison for regulators and auditors as applicable. Assists with review and updating of Trust Company policies.

Qualification and Experience

Requirements: Bachelor's degree in business, economics, paralegal studies, or related field preferred. 5+ years of financial institution compliance experience in a federally-regulated financial institution, regulatory agency, or consulting firm. Significant knowledge of laws and regulations impacting the Trust Company. Advanced ability to understand and analyze financial institution legal and regulatory requirements and the implications on Trust Company activities. Advanced ability to effectively communicate in writing or orally, as well as interact, with employees of all Trust Company departments, internal and external auditors and federal regulatory examiners.

Additional info

Auto req ID 3656BR

Company info