Wealth Management Compliance Leader

Enterprise Bank & Trust; Webster Groves (MO); On-site; USD 80,000 - 110,000; Full time

Job summary

Enterprise Bank & Trust is seeking a Wealth Management Compliance Specialist to oversee all compliance activities within wealth management. You will ensure procedures are followed and reviews are completed timely to support accurate reporting across accounts and trusts.

Responsibilities include monthly reconciliations, account reporting, and governance memo preparation, with emphasis on risk assessment, accuracy, and collaboration with the Wealth Management team.

Qualifications

• Bachelor's degree in business, finance, or related field.
• 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 to independently solve complicated compliance issues and assess risk with good judgement.

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 selected number of accounts.
• Compile Trust Compliance Committee reports and related reviews.
• Create New and Closed Account reports and Admin/Investment Review reports.
• Prepare Reg R memo and quarterly 13f/RCT reports.
• Prepare the monthly Wealth Management Snapshot.
• Monitor and calculate RMD; track exceptions and inherited IRA calculations.
• Send Annual ADV notices to clients and maintain client notifications.

Skills

Investment rules

Compliance rules

Communication skills

Problem solving

Process improvement

Teamwork

Verbal comm

Written comm

Analytical skills

Time mgmt

Education

Bachelor's degree in business/finance

Tools

Microsoft Office

Excel

Wealthscape

Trust Desk/Fi-tek

Salesforce

Job description

Enterprise Bank & Trust is seeking a Wealth Management Compliance Specialist to oversee all compliance activities within wealth management. You will ensure procedures are followed and reviews are completed timely to support accurate reporting across accounts and trusts.

Responsibilities include monthly reconciliations, account reporting, and governance memo preparation, with emphasis on risk assessment, accuracy, and collaboration with the Wealth Management team.