Compliance Officer

WND Financial is a fee-only advisory practice with two advisors, a paraplanner and an office manager. Founded in 1976 by an advisor who left a large brokerage to go independent. Family owned and operated since 1976. Compliance reviews outgoing client email, so expect to write carefully.

Reports to the Chief Compliance Officer. WND Financial needs someone who knows BSA/AML and consumer compliance and can explain regulations to branch staff in plain terms. Contract role, full-time hours, paid in USD at the end of each month. Our standups are at 9:00 AM Pacific. You will need a stable internet connection and a backup power source (UPS or inverter).

Key responsibilities

• Perform enhanced due diligence reviews on higher-risk accounts.
• Coordinate regulatory exams and audit requests, and follow findings to closure.
• Maintain the compliance risk assessment.
• Advise managers on regulatory questions in day-to-day operations.
• Monitor compliance with BSA/AML, OFAC and consumer rules such as Reg E, Reg Z and TRID.

What we're looking for

• 3+ years of compliance, audit or risk experience in banking or financial services.
• Working knowledge of BSA/AML, OFAC and consumer lending regulations.
• Comfortable training groups and presenting to committees.
• Strong writing for policies, findings and board reports.
• Familiar with AML monitoring systems such as Verafin or Abrigo.
• Organised, with a careful approach to documentation.

Compensation and benefits

• Paid in USD.
• Monthly payments via wire transfer or Wise.
• Company laptop.
• Flexible hours.

Duration: 6 months. Start: Immediately.

Demo job created on 11jobs for testing and demonstrations. It is not an actual opening at WND Financial.