Senior Compliance Officer - Remote

Who we are:

Since 1957, the firm has administered 401(k) and profit-sharing plans for employers in Kentucky. Most of the day-to-day work involves portfolio rebalancing, tax-loss harvesting and quarterly reviews. Still family owned, 69 years on.

The role:

This is a new role. The team has doubled in size over the past year. Reports to the Chief Compliance Officer. Remote, open to candidates across the US. Flexible hours with a daily team call in the morning. We use Slack, Notion and Google Meet. Cameras on for team calls.

Your responsibilities:

• 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
• Report compliance metrics to the compliance committee and board
• Maintain the compliance risk assessment
• Vet new products, marketing materials and disclosures before launch
• Coordinate regulatory exams and audit requests, and follow findings to closure

Minimum qualifications:

• 5+ years of compliance, audit or risk experience in banking or financial services
• Experience with regulatory exams (FDIC, OCC, Federal Reserve or state regulators)
• Strong writing for policies, findings and board reports
• Bachelor's degree in business, finance or a related field

Perks and benefits:

Compensation: $109,000 - $128,000 annually DOE.

• Medical, dental and vision insurance
• 401(k) with company match
• 11 paid holidays
• 401(k) with a 100% match up to 5%
• Professional development budget
• Employee discount

Start: Immediately.

Demo job created on 11jobs for testing and demonstrations. It is not an actual opening at MR Wealth Management.