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Compliance Officer

Fiduciary Risk Systems provides support of ancillary services to an affiliated trust company contracted by several major custodians to provide personal trustee services to thousands of RIAs and broker dealers throughout the US.  

COMPLIANCE OFFICER JOB RESPONSIBILITIES

  • Provides audit information to management by researching and analyzing data; preparing reports.
  • Prepares compliance audit data by compiling and analyzing internal and external information.
  • Supports departments by collecting and coordinating internal compliance data with auditors and various departments.
  • Provides administrative support by implementing systems, procedures, and policies; completing projects in support of compliance auditors.
  • Helps others by answering questions and responding to requests.
  • Complies with federal, state, and local legal and regulatory requirements by studying existing and new banking guidance.
  • Enforces adherence to requirements and advises management on needed actions.
  • Updates job knowledge by participating in educational opportunities and reading professional publications.
  • Enhances compliance department and organization reputation by accepting ownership for accomplishing new and different requests
  • Explores opportunities to add value to job accomplishments.

COMPLIANCE OFFICER QUALIFICATIONS / SKILLS

  • Legal compliance
  • Research skills
  • Reporting research results
  • Analyzing information
  • Coordination
  • Administrative writing skills
  • Organization
  • Working with others
  • Auditing
  • General math skills
  • Statistical analysis

EDUCATION AND EXPERIENCE REQUIREMENTS

  • Bachelor’s degree in accounting, business, public administration, or related field (including at least 12 semester units of accounting, finance, economics, or statistics) preferred.
  • Five (5) years of experience working in a regulated environment with emphasis in auditing, analytical or similar work experience.
  • Possession of a professional designation such as Certified Fiduciary & InvestmentRisk Specialist (CIFRS) or willingness to complete the certification process.