Wealth Management Compliance Specialist

Citizens-; Wellsboro (Tioga County); On-site; USD 80,000 - 120,000; Full time

Job summary

C&N Wealth Management is seeking a qualified Wealth Management Compliance Officer to join our team. You’ll administer the compliance program, perform monitoring, risk assessments, and support audits to ensure adherence to BSA/OFAC, Reg 9, and related policies.

In this role you’ll partner with Risk Management and business lines, provide regulatory guidance, training, and documentation to keep controls effective and aligned with evolving requirements.

Qualifications

• Bachelor’s Degree in a related field and 2–4 years of related experience or training.
• Preferred Certifications: CTFA, CFIRS, or CRCM.
• Strong knowledge of BSA/OFAC, regulatory monitoring, risk assessments, and policy maintenance.

Responsibilities

• Administer and support the wealth management compliance program including BSA/OFAC activities and policy maintenance.
• Perform risk-based compliance monitoring and testing, review fiduciary and operational activities, identify deficiencies and support remediation.
• Provide regulatory guidance, training, and documentation to assist management and staff with policy interpretation and application.
• Support internal and external audits and regulatory examinations by coordinating documentation and responses.
• Administer the Medallion Stamp Program training and certification coordination.

Skills

Strong communication

Attention to detail

Research skills

Analytical skills

Regulatory compliance

Critical thinking

Problem solving

Organization & time management

Collaboration & relationship building

Education

Bachelor’s degree in a related field

Job description

C&N Wealth Management is seeking a qualified Wealth Management Compliance Officer to join our team. You’ll administer the compliance program, perform monitoring, risk assessments, and support audits to ensure adherence to BSA/OFAC, Reg 9, and related policies.

In this role you’ll partner with Risk Management and business lines, provide regulatory guidance, training, and documentation to keep controls effective and aligned with evolving requirements.