Wealth Management Compliance Lead

Enterprise Bank & Trust; Clayton (MO); On-site; USD 85,000 - 110,000; Full time

Benefits offered by this job

Volunteer time off

Charitable matching

Job summary

Enterprise Bank & Trust is seeking a Wealth Management Compliance Specialist to lead and coordinate compliance activities for wealth management assets. You will ensure timely execution of procedures, reporting, and regulatory reviews across accounts, modules, and committees.

The role demands strong knowledge of investment and compliance regulations, excellent communication, and detailed problem solving in a fast-paced team environment.

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.
• Excellent communication skills to coach, mentor, and train Wealth Management team on compliance tasks.
• Ability and willingness to independently solve complicated compliance issues.
• Strong analytical and decision making skills based on risk assessment and attention to detail.

Responsibilities

• Complete Monthly House Account Reconciliation.
• Run monthly 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 select accounts.
• Compile Trust Compliance Committee reports.
• Create the New account and Closed account reports and Admin/Investment Review reports for the committee.
• Monitor and compile required reports (NIGO, Fee Committee, Reg R memo, 13f/RCT, etc.).
• Assist with backup coverage for New and Closed Accounts and Fee Processing.

Skills

Compliance knowledge

Communication skills

Problem solving

Attention to detail

Time management

Education

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

Tools

Microsoft Office

Excel

Wealthscape

Trust Desk or Fi-tek

Salesforce

Job description

Enterprise Bank & Trust is seeking a Wealth Management Compliance Specialist to lead and coordinate compliance activities for wealth management assets. You will ensure timely execution of procedures, reporting, and regulatory reviews across accounts, modules, and committees.

The role demands strong knowledge of investment and compliance regulations, excellent communication, and detailed problem solving in a fast-paced team environment.