Sr. Compliance Officer Trust and Wealth Management


Job Description

Our client is a regional bank that is hiring a Sr. Compliance Officer for their Trust and Wealth Management Department.  Responsibilities will include:
  • Develop and implement policies and procedures for compliance throughout the Wealth Management department
  • Assist in Federal regulatory exams
  • Vendor Management
  • Communicate effectively addressing Compliance training and responsibilities throughout the department on a regular basis
  • Partner with Internal sources to identify risks and effective strategies to reduce incoming risks
  • Communicates through reports to senior management to keep them informed on Compliance efforts



Job Requirements

  • Bachelors Degree
  • 7-10 years Wealth Management Compliance experience
  • CTFA or CFP preferred


Company Overview

Finding qualified talent for hard-to-fill positions is tough, even in the best of times. PointOne connects your organization to the best executive and mid-level management professionals for your organization. Founded in 1981 PointOne Recruiting Solutions has grown to one of the top 5 offices in the MRINetwork®, the world’s largest search and recruitment organization, we bring you not only the expertise and experience of our own team, but also the total staffing resources of an international network. Our search and recruitment professionals are backed up by research capabilities, technological support, and experts in important areas such as relocation and assessment.


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  • Sr. Compliance Officer Trust and Wealth Management @ PointOne Recruiting Solutions