Wealth Compliance Specialist: Risk, Reconciliations, Reports

Enterprise Financial Services Corp.; Clayton, Northern (MO, KY); Hybrid; USD 85,000 - 125,000; Full time

Job summary

Enterprise Financial Services Corp. seeks a Wealth Management Compliance Specialist to oversee all compliance activities within Wealth Management and ensure procedures are followed and reviews completed accurately and on time.

The role includes generating monthly reports (New/Closed Accounts, Admin/Investment reviews), preparing committee materials, Reg R and quarterly 13f/RCT reports, and monitoring alerts related to NIGOs and client reviews.

Qualifications

• Bachelor’s degree in business, finance, or related field.
• Minimum 5 years of compliance experience for a trust company or wealth management firm.
• Excellent knowledge of investment and compliance regulations.
• Strong communication and mentoring abilities.

Responsibilities

• Complete monthly house account reconciliation.
• Run monthly new account reports and prepare the New Account Review Memo.
• Run monthly closed account reports and the review tracking report.
• Prepare compliance reviews for selected accounts.
• Compile Fidelity IWS Scorecard and NIGO reports.
• Monitor alerts for NIGOs, rejects, and client reviews.
• Maintain Admin and Investment reviews and related reports.
• Prepare Reg R memo and quarterly 13f and RCT reports.
• Monitor and calculate RMDs and pull RMD reports.

Skills

Investment compliance

Compliance regulations

Communication skills

Analytical skills

Time management

Organizational skills

Problem solving

Coaching/training

Attention to detail

Teamwork

Education

Bachelor's degree in business, finance, or related field

Tools

Microsoft Office

Excel

Wealthscape

Trust Desk

Fi-tek

Salesforce

Job description

Enterprise Financial Services Corp. seeks a Wealth Management Compliance Specialist to oversee all compliance activities within Wealth Management and ensure procedures are followed and reviews completed accurately and on time.

The role includes generating monthly reports (New/Closed Accounts, Admin/Investment reviews), preparing committee materials, Reg R and quarterly 13f/RCT reports, and monitoring alerts related to NIGOs and client reviews.