Wealth Management Administration Compliance Lead
Dubuque Bank and Trust
1 Positions
ID: 21-1853
Posted On 12/22/2021
Job Overview
The Wealth Management (WM) Administration and Compliance Lead develops and implements policies, procedures, and workflow that enhance the ongoing administration of HTLF WM accounts in accordance with regulations. This individual ensures compliance and risk management policies, procedures, and controls are being adhered to and provides related resources and support to member banks. This individual maintains, modifies, and ensures proper use of account administration documentation and the related procedures.
REMOTE/HYBRID WORK OPTIONAL
Primary Responsibilities
- The WM Administration and Compliance Lead oversees the development, oversight, and review of workflow, processes, and procedures to ensure proper administration in compliance with policy.
- Drives innovative efficiencies in workflow through available technology and enhancements by proactively detecting patterns of inefficiency or error and proposes solutions.
- Primary owner of procedure and account administration documentation including forms.
- Ensures effective and timely communication of workflow, processes, and procedures to WM team.
- Develops and implements the administrative review program process in compliance with policies, procedures, and regulatory requirements.
- Responsible for reviewing and monitoring compliance strategies to validate administrative review process adherence and effect on risk.
- Develops strong relationships with member bank administrators through exceptional problem solving, ownership, and follow through.
- Manages resources to provide timely support to WM team questions regarding compliance matters.
- Coordinates the development and ongoing implementation of the account acceptance process across HTLF Member Banks.
- Maintains up-to-date knowledge of relevant regulations, laws, and best practices related to the job function through internal and external training resources and keeps department and relationship managers up to date on new guidance and its implementation.
- Completes annual E-Learning Plan and Bank Secrecy Act (BSA) training as assigned and keeps up-to-date knowledge of BSA as it relates to the job function.
Secondary Responsibilities
- Performs other duties as assigned.
Management Responsibilities
- This job has no management responsibilities.
Qualifications
- Bachelors required
- 5-7 years of professional trust, fiduciary, or legal experience. required
- Prior experience leading others toward engagement and productivity. required
- Demonstrates strong working knowledge of trust and fiduciary regulations and principals. required
- Ability to build relationships, establish trust and work collaboratively with co-workers, internal clients and other stakeholders at all levels. required
- Demonstrates excellent written and verbal communication, organizational, problem solving, and decision-making skills. required
- Demonstrates ability to define problems, collect data, establish facts, and draw valid conclusions. required
- Capable of multitasking a heavy workload while meeting deadlines. required
- Demonstrates capability to identify and remediate risks within the context of the broader organization and profitability. required
- Record of excellent service skills Demonstrated record of excellent service skills. required
- Advanced knowledge of MS Word, Excel, Outlook, PowerPoint. required