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We are seeking an experienced and highly skilled Director of Compliance to join our client's team. The ideal candidate will have a strong background in Trust Administration, hold a Certified Trust and Financial Advisor (CTFA) designation, and possess a Juris Doctor (JD) degree. This role is critical in ensuring our organization maintains the highest standards of compliance with all relevant laws, regulations, and internal policies.
Responsibilities
Develop, implement, and oversee a comprehensive compliance program that addresses all aspects of our organization's operations, with a particular focus on trust administration and financial services.
Stay abreast of changes in laws and regulations affecting the trust and financial services industry, and ensure the organization's policies and procedures are updated accordingly.
Conduct regular risk assessments to identify potential compliance issues and develop strategies to mitigate these risks.
Create, review, and update compliance policies and procedures to ensure they align with current regulations and best practices
Develop and deliver comprehensive compliance training programs for employees at all levels of the organization
Establish and oversee internal auditing processes to monitor compliance with policies, procedures, and regulatory requirements
Prepare and present regular compliance reports to senior management and the board of directors, highlighting key issues, trends, and recommendations
Chair the organization's compliance committee, facilitating regular meetings and driving the compliance agenda.
Develop and oversee customer due diligence processes, including Know Your Customer (KYC) and Anti-Money Laundering (AML) procedures
Ensure timely and accurate submission of all required regulatory filings and reports.
Work closely with other departments, including Legal, Risk Management, Operations, and Information Technology, to ensure a cohesive approach to compliance across the organization.
Qualifications
Juris Doctor (JD) degree from an accredited law school OR Certified Trust and Financial Advisor (CTFA) designation
Minimum of 10 years of experience in compliance roles within the trust and financial services industry
Extensive knowledge of trust administration principles and practices
Strong understanding of federal and state regulations governing trust and financial services
Additional Information
Location: Salem, NH
NH Residents - Hybrid (2x remote / 3x onsite)
MA Residents - Onsite only ($150/monthly stipend offered)
Compensation: $175, 000 –$200, 000 DOE + Profit Sharing
Benefits: Medical, Dental, Vision, 401(k) and match, FSA, LSA, Generous PTO and more
Embark on your career journey in the vibrant city of Salem, New Hampshire! Nestled in the heart of Rockingham County, this charming area offers a mix of historic landmarks, picturesque parks, and a thriving arts and culture scene. With job opportunities ranging from tech to healthcare, Salem presents a myriad of growth possibilities for job seekers. Explore positions with top companies while enjoying the scenic beauty of Canobie Lake Park, catching a show at the historic Salem Town Hall, or sampling local favorites like clam chowder at bustling downtown eateries. Don't miss out on joining the dynamic workforce in Salem and experience all this captivating city has to offer!
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