Wealth Management Compliance Expert

Enterprise Bank & Trust; Kirkwood (MO); On-site; USD 85,000 - 115,000; Full time

Job summary

Enterprise Bank & Trust in the United States seeks a Wealth Management Compliance Specialist to oversee all compliance activities within Wealth Management. The role requires strong knowledge of investment and compliance regulations, plus the ability to coach and train team members on compliance tasks.

Responsibilities include monthly reports, regulatory memos, RMD calculations, and managing compliance reviews for accounts, with a focus on accuracy, timeliness, and risk-informed decision making.

Qualifications

• Bachelor's degree in business, finance, or related field.
• Minimum of 5 years of compliance experience for a trust company or wealth management firm.
• Excellent knowledge of investment and compliance regulations.
• Ability to coach, mentor, and train Wealth Management team on compliance tasks.
• Strong verbal and written communication skills.

Responsibilities

• Complete Monthly House Account Reconciliation.
• Run monthly new account reports and compile the New Account Review Memo.
• Run monthly closed account reports and compile closed account review tracking report.
• Run monthly account reports and complete a compliance review for a set number of accounts.
• Compile Trust Compliance Committee reports.
• Create New and Closed account reports and admin/investment reviews.
• Monitor RMDs and calculate for inherited IRAs.
• Prepare quarterly 13f and RCT reports.

Skills

Regulatory knowledge

Communication skills

Analytical thinking

Time management

Team collaboration

Independent problem solving

Education

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

Tools

Microsoft Office

Wealthscape

Trust Desk or Fi-tek

Salesforce

Job description

Enterprise Bank & Trust in the United States seeks a Wealth Management Compliance Specialist to oversee all compliance activities within Wealth Management. The role requires strong knowledge of investment and compliance regulations, plus the ability to coach and train team members on compliance tasks.

Responsibilities include monthly reports, regulatory memos, RMD calculations, and managing compliance reviews for accounts, with a focus on accuracy, timeliness, and risk-informed decision making.