The Compliance Advisory - WM will assist the WM Chief Compliance Officer in the development, monitoring and testing of the company's Wealth Management compliance program to ensure that the rules, policies and regulations are being followed properly. This position is responsible for 2LOD oversight and monitoring of the bank's Trust and Fiduciary regulatory obligations, and will develop and implement an appropriate oversight program

• Monitor the existing Trust and Fiduciary (OCC Reg 9) compliance program
• Monitor, review and challenge risks assessments and testing of Fiduciary compliance programs
• Perform Monitoring over business processes and regulatory controls
• Analyze current Trust and Fiduciary Compliance functions and suggest enhancements and standardization, where appropriate.
• Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements
• Review, draft and advise on compliance procedures related to regulatory compliance
• Provide advisory guidance on RIA and Trust policies, procedures and business practices
• Assess and advise on regulatory applicability. Assess, review and report on business unit implementation related to regulatory changes.
• Manage monthly advisory business unit interaction related to Trust and Fiduciary programs, issues, testing and monitoring activities.
• Evaluate, advise and report on the completeness, both coverage and applicability, of 1LOD test plans’ alignment to regulatory themes.
• Monitor complaints, issues, new products and services of the 1LOD. Provide advisory review of 1LOD complaints and issues.

Must-Have*

• Minimum 7 years of relevant work experience with a financial institution such as a registered investment adviser, broker/dealer, regulatory agency, or other financial institution.
• Minimum 5 years compliance experience with a financial institution.
• Minimum 2 years of experience with 12CFR Part 9

Skills and Knowledge

• Bachelor's degree from a four-year college or university is preferred. Equivalent combination of education and significant relevant work experience may be considered.
• In-depth knowledge of the 12 CFR Part 9
• Excellent verbal and written communication skills
• FINRA Registrations: S7, S66 (or 63 and 65) a plus
• Strong abilities in analytical thinking, problem solving, research, and time management
• Proficiency with Windows programs: Excel, Outlook, Word