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In-House
Attorney
Trusts and Estates
Min 5 yrs required
Senior Compliance Analyst The candidate legal background will be instrumental in supporting the Compliance and Trust departments in handling special projects for both teams as well as, analyzing documents. Supports routine audits, regulatory filings, exams, internal procedures, SEC, DFI, DOL and state requirements. Maintains records of all contracts and other legal obligations, including renewals, deadlines and other requirements. Conducts vendor due diligence, tracking requests, obtaining & reviewing requested documentation. Researches SEC and other regulatory agency rules and regulations in order to incorporate new requirements into policies and procedures. Conducts monitoring of management's ongoing responsibilities to revise policies and procedures. Processes new account openings or closings, and account maintenance. Assists with processing deposits and disbursements. Assists with account review preparation. Reviews trust documents for synopsis of primary provisions. Implements action items for regulatory exam and internal audit results. Implements enhancements to account management system.
Qualification and Experience
A Legal degree or certification is required (JD or paralegal). Should have 5+ years experience in related field; preferrably financial services, trust or legal. Must have experience with business analytics tools preferred (e.g. Power BI or Tableau). Must be detail oriented with excellent organizational skills. Must have strong critical thinking/analytical skills. Excellence in Microsoft Suite required.
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