Compliance Analyst Senior

Arden Trust Company provides industry-leading personal trust services designed to support families and preserve relationships for generations. As a professional trustee, we offer a depth of experience, technology and resources to handle trusts effectively. Our approach is rooted in fostering a meaningful partnership with the family’s wealth management advisor to create a seamless trust experience. Together, we provide families with a holistic approach and specialized expertise, giving them peace of mind in every aspect of their financial lives.

Advanced professional role requiring high skill with extensive proficiency. Responsible for conducting compliance testing and verification; new account/CIP documentation. Assist with preparation of various queries for coding projects and account maintenance. Assists with the preparation of compliance reporting materials as needed as well as assisting with vault maintenance.

ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job successfully, the individual must be able to perform each essential duty satisfactorily.

• Assist in gathering information for state regulatory examinations and internal audits.
• Wide latitude for independent judgment and is expected to provide guidance and cross-training to others.
• Will assist with maintaining minutes for appropriate committees, and other such compliance duties as needed.
• Works independently with only administrative supervision and the ability to overcome major obstacles and recognize early when issues should be escalated or a senior peer needs to be consulted.
• Effectively communicates with all levels of technical and non-technical personnel.
• Consults with senior peers on moderate to complex processes to learn through experience.
• Access and maintain trust vault as required.
• Maintain Minutes for appropriate committees - TAC, TNBC, Trust Management, Board of Directors.
• Run system queries (overdrafts, aged fees, new accounts opened, closed accounts) as required.
• Create system downloads and reports to assist field offices with day-to-day administration of accounts.
• Maintains high fiduciary standards to prevent losses due to administration errors.
• Processes KYC/CIP as needed.
• Schedules employee trainings and maintains training logs.
• Maintains account review logs.
• Analyzes issues/systems on an ongoing basis to determine when changes to practices are required.
• Investigates known error conditions, and follows prescribed error correction procedures.
• Follows escalation procedures when appropriate to resolve processing and/or user problems.
• Communicates systems updates and/or process changes and trains internal customers (employees).
• Identifies new tools, technology, or processes that improve the overall processing environment.
• Maintain Audit Internal Controls Report for Audit Committee meetings.
• Process reports for financial brokerage partnerships.
• Process scorecard reports for management.
• Works with internal and external examiners to process audits accordingly.
• Other related duties assigned as needed.
  
  

KNOWLEDGE, SKILLS, AND/OR ABILITIES: To perform this job successfully, the individual should have the following skills and abilities.

• Excellent problem solving, independent decision making, analytical and time management skills managing multiple tasks/deadlines.
• Ability to work in a fast paced, high-pressure environment either independently or within a team.
• Excellent verbal and written communication skills to technical and non-technical audiences of various s levels in the organization (e.g. executive, management, individual contributors)
• Strong work ethic and attention to detail.
• Proficiency in Microsoft Office software is essential as well as experience with related Trust systems.
  
  

EDUCATION AND/OR EXPERIENCE:

• High School Graduate or equivalent required.
• College Degree a plus.
• 5 - 7 year’s Compliance Analyst experience.
  
  

INTERNAL APPLICANT POLICY:

Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra. Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP.

BENEFITS:

Full health, vision, dental. 401(k) plans along with a host of voluntary plans such as car insurance, legal services and more (applicable to full time permanent employees).

DISCLOSURE:

By applying to a job at Arden Trust Company ( a subsidiary of Kestra Financial, Inc.), you are agreeing to the following statements:

• You acknowledge that if hired, Kestra Financial, Inc. may, obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment.
• It is the policy of Kestra Financial to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law. Kestra Financial prohibits any such discrimination or harassment.
  
  

KESTRA VALUES:

Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them. We do that by living our values: SERVE, MAKE IT HAPPEN, and ONE TEAM.