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Compliance Officer

Company: Trust Point Inc.
Location: Eau Claire
Posted on: May 21, 2023

Job Description:

EXPERIENCE OUR CULTURE! JOIN OUR TEAM!Recognized as a "Best Place to Work" for the 6th year in a row by Business Intelligence Group, Trust Point Inc. of Eau Claire, WI. is looking to hire a full-time Relationship Manager to join our Wealth Management team. We are looking for an individual that will use their background in law, passion for finance, investments and planning to build impactful, trustworthy and long-lasting relationships with their clients.We offer a complete line of benefits including, health, dental, life, long term disability, paid holidays and paid vacation. In addition, we also offer a very generous 401k and profit-sharing plan.ABOUT TRUST POINT INC.For more than 100 years, Trust Point has provided a wide array of trusted financial services to individuals, families, businesses and charitable organizations. It is our goal to provide outstanding client service in order to help our clients achieve their financial goals.Our success is a direct result of the caliber of the team we recruit. We value each of our staff members and their input. We are supportive, not only to our clients but to each other. Our CEO embodies our supportive culture and has an open-door policy. We love to show our appreciation and provide fun and unique perks throughout the year like locally sourced steaks, produce, cheese and homemade apple pies!A DAY IN THE LIFE OF A COMPLIANCE OFFICERMaintain a risk assessment program including assistance with risk evaluationsResponsible for the oversight and testing of the Company Policy and Procedure ManualOversight of the Regulation 9 Review ProgramCorporate wide strategic and reputational riskConsistent focus on current and prospective regulatory and industry changesTrain staff regarding regulatory and policy changesSupport the internal auditorCoordinate internal and external audit coverageChair the Risk CommitteeResponsibility for adhering to regulations and internal policies, as well as responding to escalating risk issues and policy changes in a timely manner.Requirements:College degree in accounting.CPA is preferred, CIA (Certified Internal Auditor) or CFIRS (Certified Fiduciary & Investment Risk Specialist), if possible.Some experience in public accounting and preferably in the audit area.Sufficient compliance, organizational, and technical skills.Ability to communicate both orally and in writing with others in the company and report results to management, Audit Committee and vendors, as needed.High degree of confidentiality.Good problem-solving skills and ability to work independently.This position requires excellent communication and interpersonal skills which include: relationship development, listening, oral and written communication, decision making, organizing, executing and implementing plans, team building and work coordination.

Keywords: Trust Point Inc., Eau Claire , Compliance Officer, Accounting, Auditing , Eau Claire, Wisconsin

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