Wealth Management Compliance Officer
Company: Sunflower Bank, N.A.
Location: Overland Park
Posted on: September 15, 2023
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
- Study state and federal laws related to the industry and ensure
that the department conducts business according to new regulations
- 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
- Review client documents for compliance purposes.
- Assist in resolving and responding to client complaints.
- Provide limited compliance guidance to standard employee
- 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
- 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
- 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
- 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
- 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
- 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!
Keywords: Sunflower Bank, N.A., Overland Park , Wealth Management Compliance Officer, Executive , Overland Park, Kansas
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