Compliance Specialist

Waltham Planning Group manages assets for more than 200,000 clients through 120 offices. Since 1926, the firm has grown through acquisitions of independent advisory practices. We started in 1926 and have grown to about 107,800 people.

About the role:

Reports to the Chief Compliance Officer. Waltham Planning Group needs someone who knows BSA/AML and consumer compliance and can explain regulations to branch staff in plain terms. Remote, open to candidates across the US.

In this role you will:

• Monitor compliance with BSA/AML, OFAC and consumer rules such as Reg E, Reg Z and TRID
• Report compliance metrics to the compliance committee and board
• Investigate customer complaints that raise compliance issues
• Coordinate regulatory exams and audit requests, and follow findings to closure
• Test branch and lending processes against policy and regulation
• Write and update compliance policies and procedures
• Review suspicious activity alerts and prepare SAR filings within deadlines

What you need:

• 2-4 years of compliance, audit or risk experience in banking or financial services
• Working knowledge of BSA/AML, OFAC and consumer lending regulations
• Organized, with a careful approach to documentation
• Comfortable training groups and presenting to committees
• Sound judgment and the confidence to escalate
• Bachelor's degree in business, finance or a related field

The salary range for this role is $109,000 - $129,000 per year. This range reflects base salary only.

What you get:

• Health, dental and vision coverage starting on day one
• 401(k) with company match
• Paid sick leave
• Cell phone reimbursement
• Home office stipend
• 12 weeks of paid parental leave
• Gym membership reimbursement

We are an equal opportunity employer. If you need an accommodation during the application process, let us know.

We review applications on a rolling basis.

Start: Within 30 days.

Demo job created on 11jobs for testing and demonstrations. It is not an actual opening at Waltham Planning Group, Inc..