Senior Trust Compliance Analyst

Bridges Trust; Sioux Falls (SD); Hybrid; USD 90.000 - 120.000; Vollzeit

Zusammenfassung

Bridges Trust, a privately-owned trust and wealth management firm, seeks a Senior Compliance Analyst in Sioux Falls, SD, reporting to the Chief Compliance Officer. You will conduct compliance monitoring, testing, risk assessments, regulatory reporting, and support examinations to ensure fiduciary and regulatory standards are met.

Join a team committed to integrity, service, and performance as you help maintain regulatory records, support Form ADV filings, review client disclosures, and update

Qualifikationen

• Bachelor’s degree in business, finance, accounting, law, risk management, or related field.
• Five or more years of relevant compliance, regulatory, audit, risk, securities, investment advisory, registered fund, trust, or financial-services experience.
• Experience supporting regulatory examinations and interacting with federal or state regulators.
• Knowledge of regulations governing investment advisers, registered investment companies, trust companies, or wealth management organizations.
• Experience with compliance testing, risk assessments, regulatory filings, policies and procedures, or issue remediation.
• Strong analytical, research, communication, organizational, and documentation skills.
• Ability to manage multiple priorities, exercise sound judgment, protect confidential information, and collaborate across the organization.
• Proficiency with Microsoft Office and compliance, document-management, or regulatory-filing systems.
• Professional certification such as IACCP, CRCP, CRCM, or a comparable designation is preferred but not required.

Aufgaben

• Fiduciary & Trust Review: Conduct regular compliance testing on personal trust, estate, and agency accounts against governing instruments and fiduciary standards.
• Support SEC and state regulatory examinations, communications, information requests, and remediation activities.
• Research regulations affecting investment advisers, registered funds, trust companies, and wealth management businesses.
• Conduct compliance monitoring, surveillance testing, and risk assessments; document findings and track corrective actions.
• Maintain regulatory records, the compliance calendar, and the enterprise compliance management platform.
• Prepare or support Form ADV and other federal and state regulatory filings.
• Review client disclosures, account documents, trust agreements, investment policy statements, and donor-advised fund proposals.
• Update compliance policies and procedures to address regulatory and business developments.
• Support compliance training, audits, independent reviews, and reporting to management and governance bodies.
• Provide practical compliance guidance and participate in reviews of new products, services, vendors, and operational changes.
• Promote a strong culture of compliance through sound judgment, collaboration, and proactive communication.

Kenntnisse

Regulatory compliance

Regulatory exams

Risk assessment

Analytical research

Documentation

Communication

Ausbildung

Bachelor's degree in business/finance/law

Tools

Microsoft Office

Regulatory filing systems

Compliance management system

Jobbeschreibung

Bridges Trust is a privately-owned trust and wealth management firm providing comprehensive trust, wealth management, family office, and strategic planning services for a growing client base of successful individuals and families, endowments and foundations, business owners, and corporations. Our experienced team of professionals in investments, trusts, and philanthropy are dedicated to helping our clients develop and implement innovative and effective strategies to preserve and maximize their wealth across generations.

Bridges Trust is built on the tenacity and ethic of our team members. We are united in our commitment to deliver expertise and unparalleled service and look forward to adding team members who align with our values of trust, service, excellence, and performance.

About the role

Reporting to the Chief Compliance Officer, this role will conduct compliance monitoring, testing, risk assessments, regulatory reporting, and examination support. The Senior Compliance Analyst will collaborate across the organization to ensure policies, disclosures, and business practices meet regulatory requirements and industry standards. Our firm includes an SEC-registered investment adviser, a registered investment company, and trust companies regulated in Nebraska and South Dakota.

What you'll do

• Fiduciary & Trust Review: Conduct regular compliance testing on personal trust, estate, and agency accounts against governing instruments and fiduciary standards.
• Support SEC and state regulatory examinations, communications, information requests, and remediation activities.
• Research regulations affecting investment advisers, registered funds, trust companies, and wealth management businesses.
• Conduct compliance monitoring, surveillance testing, and risk assessments; document findings and track corrective actions.
• Maintain regulatory records, the compliance calendar, and the enterprise compliance management platform.
• Prepare or support Form ADV and other federal and state regulatory filings.
• Review client disclosures, account documents, trust agreements, investment policy statements, and donor-advised fund proposals.
• Update compliance policies and procedures to address regulatory and business developments.
• Support compliance training, audits, independent reviews, and reporting to management and governance bodies.
• Provide practical compliance guidance and participate in reviews of new products, services, vendors, and operational changes.
• Promote a strong culture of compliance through sound judgment, collaboration, and proactive communication.

Qualifications

• Bachelor’s degree in business, finance, accounting, law, risk management, or a related field.
• Five or more years of relevant compliance, regulatory, audit, risk, securities, investment advisory, registered fund, trust, or financial-services experience.
• Experience supporting regulatory examinations and interacting with federal or state regulators.
• Knowledge of regulations governing investment advisers, registered investment companies, trust companies, or wealth management organizations.
• Experience with compliance testing, risk assessments, regulatory filings, policies and procedures, or issue remediation.
• Strong analytical, research, communication, organizational, and documentation skills.
• Ability to manage multiple priorities, exercise sound judgment, protect confidential information, and collaborate across the organization.
• Proficiency with Microsoft Office and compliance, document-management, or regulatory-filing systems.
• Professional certification such as IACCP, CRCP, CRCM, or a comparable designation is preferred but not required.