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Wealth Management Compliance Officer

Company: Sunflower Bank, N.A.
Location: Overland Park
Posted on: September 15, 2023

Job Description:

Sunflower Bank, N.A. is looking for an energetic, highly motivated individual to fill the position of Wealth Management Compliance Officer in Kansas City! This position is responsible for overseeing the trust and brokerage department's compliance with government laws and regulations and will collaborate with business units across the enterprise to support strategic initiatives and growth achievement through adherence to consumer compliance laws and regulations throughout the organization. This position requires the ability to provide proactive risk management, be solutions oriented, focus on relational awareness, and a desire to cultivate a continued expansion of their compliance expertise.

  • Support ongoing monitoring, tracking, and reporting of key compliance metrics and alerts.
  • Facilitate administration of issues management processes, including issue tracking, reporting, and maintenance of the global issues tracker.
  • Study state and federal laws related to the industry and ensure that the department conducts business according to new regulations that arise.
  • Assist with the tracking of training, certifications, and other key requirements for bank and RIA personnel.
  • Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements.
  • Analyzes and reports compliance information to Compliance and business/group management
  • Review client documents for compliance purposes.
  • Assist in resolving and responding to client complaints.
  • Provide limited compliance guidance to standard employee questions.
  • Perform other compliance functions as needed, such as assisting with various compliance tests, monitoring, policy review and revisions, risk management, etc.
  • Evaluate with various partners the impact on business offerings, services, and procedures from periodic reviews and regulatory (OCC, SEC, FINRA, etc.) or other change factor. Education / Experience Preferred:
    • Bachelor's Degree in a related field is preferred or equivalent work experience.
    • Minimum of 2 years of compliance experience at a financial institution is preferred. Prior work experience in a compliance or audit role within the financial services industry is preferred. Relevant experience at a consulting or similar firm or a federal regulator will also be considered.
    • CTP, AAP, CRCM, or comparable professional certification preferred.
    • Working knowledge of Microsoft Office (e.g. Word, Excel and PowerPoint) is required; extensive knowledge of PowerPoint and Excel is a plus. Working knowledge of Power BI is also preferred.
    • Knowledge and understanding of the business unit's product line and ability to learn new areas while supporting them.
    • Understanding of the business units' risks and regulatory requirements.
    • Experience working for a regulator preferred.
    • Excellent interpersonal, leadership, organizational and communication (verbal and written) skills.
    • Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.
    • Project management skills and ability to manage multiple work streams involving different partners and groups.
    • Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.
    • A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm. Sunflower Bank Benefits employees enjoy outstanding benefits, including:
      • 401(k) Plan with 6% Match
      • Health/Dental/Vision Insurance
      • Company-paid Life Insurance
      • Tuition Reimbursement
      • Fitness Reimbursement
      • Paid Time Off
      • Volunteer Leave
      • Paid Holidays
        Plus many more employee perks & incentives!

        People choose to "bank" with us, but for those we serve, we're more than a bank. We strive to be the financial backbone of their lives and we know that starts with our team.

        If you qualify, apply online at www.sunflowerbank.com/careers.

        You've never worked anyplace like Sunflower Bank!

        EOE/AA: Minorities/Females/Disabled/Vets

Keywords: Sunflower Bank, N.A., Overland Park , Wealth Management Compliance Officer, Executive , Overland Park, Kansas

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