Mar 03, 2022

Compliance Analyst

  • Equity Trust Company
  • 1 Equity Way, Westlake, OH, USA
Legal Risk Management

Job Description

When you work at Equity Trust, there is never a dull moment! You get to be a part of a dynamic, innovative, and collaborative team dedicated to providing a superior client experience and driven by performance. Our culture of learning and growth encourages our teams to challenge the status quo and break through ceilings to establish new standards for our industry. For all our associates, the journey is both challenging and rewarding, and we embrace the flexibility to allow you to pave your own path. Come join our mission and learn what it truly means to self-direct your future!

*This position is based out of our Westlake, OH office but eligible for a hybrid remote schedule.

JOB SUMMARY: 

The Compliance Analyst I contributes to the compliance program and assists in maintaining appropriate risk management.  

    

ESSENTIAL FUNCTIONS:

•Provides day-to-day management to accomplish compliance goals and objectives

•Reviews client-directed investments for administrative feasibility

•Conducts background checks, investment information, and documentation for providers of assets under custody

•Identifies and recommends freezing of assets to mitigate risk

•Monitors customer account activity and researches transactions for compliance with applicable company policies and procedures

•Assesses third party sales and marketing relationships to manage risk

•Performs research through investigative databases and online tools

•Responds to frontline questions regarding compliance and procedural matters

OTHER FUNCTIONS:

•Makes recommendations for modifications and improvements to the systems, procedures, and processes for detecting variances from company policy, risk, and suspicious activity

•Assists in the implementation of programs/initiatives to enhance compliance awareness

•Performs other duties as assigned

QUALIFICATIONS:

Education and Experience:

•Minimum 1 year of experience in Operations, Compliance, or Audit department of financial services or other regulated business (bank, broker-dealer or trust company preferred)  

•Bachelor’s degree in Business Administration, Finance, or related field; relevant work experience in lieu of a degree may be considered

PROFESSIONAL CERTIFICATIONS:

•None required

TECHNICAL SKILLS:

•Knowledge in trust/financial service industry preferred

•Familiarity with South Dakota Division of Banking Trust Company regulations, Internal Revenue Service requirements, and other federal laws preferred

•Proficiency working with Microsoft Office 

BEHAVIORAL COMPETENCIES:

In addition to the Core Company competencies of Cultivates Innovation, Nimble Learning, Action Oriented, Collaborates, and Being Resilient:

•Decision Quality

•Business Insight

•Instills Trust

•Financial Acumen


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