SENIOR COMPLIANCE ANALYST
Bridges Trust is a privately-owned trust and wealth management firm providing comprehensive trust, wealth management, family office, and strategic planning services for a growing client base of successful individuals and families, endowments and foundations, business owners, and corporations. Our experienced team of professionals in investments, trusts, and philanthropy are dedicated to helping our clients develop and implement innovative and effective strategies to preserve and maximize their wealth across generations.
Bridges Trust is built on the tenacity and ethic of our team members. We are united in our commitment to deliver expertise and unparalleled service and look forward to adding team members who align with our values of Trust, Service, Excellence, and Performance.
As the Senior Compliance Analyst, you will be responsible for assisting the Chief Compliance Officer with oversight and execution of the Firm’s Compliance Program which includes but is not limited to ongoing administration, new policy formulation, risk assessment, testing, and preparation of regulatory filings.
Responsibilities reflect how you can make a difference:
- Provide Guidance and Oversight to the firm on implementation of, and enforcement of policies, procedures, and programs. By doing so, this role will help position the firm for growth and scaling while ensuring compliance controls are in place.
- Conduct periodic audits, tests, and monitoring of firm compliance with existing and new policies and procedures.
- Assist in establishing controls to mitigate firm risks and preparation of risk assessments.
- Prepare regulatory filings and amendments, which includes assisting with preparation for and responses to regulatory body inquiries, examinations, and audits (both internal and external).
- Other areas of focus for this role include collaborating across the firm on initiatives, as well as providing research and resolution of compliance related issues.
- Your ability to Collaborate and Adapt, with a willingness to learn and grow, will be important to your success in this role. You will be asked to work effectively with others, be proactive in supporting the firm’s needs, and adjust to changing circumstances that may require balancing your priorities with the needs of others.
- Bachelor’s degree in Business, Accounting, Finance, or a related discipline is preferred. However, significant experience will be considered in lieu of a degree.
- Five+ years of relevant work experience with a regulated financial institution such as a broker/dealer, registered investment adviser, regulatory agency, trust company, or other financial institution.
- Ability to handle multiple priorities, meet deadlines, and develop process efficiencies where required.
- Strong written and verbal communication, including the ability to communicate both up and down the management chain, and to adapt your style depending on the audience and subject matter.
- Work well in a fast-paced, complex, and collaborative environment.
- Strong communication, interpersonal, and troubleshooting skills.
- Ability to independently identify and analyze compliance issues.
- Ability to organize and maintain accurate records, logs, etc.
- Knowledge of the regulations applicable to a registered investment adviser and trust company (i.e., Investment Advisers Act, Nebraska Trust Company Act, etc.).
- Experience with regulatory filings, conducting risk assessments, and drafting policies and procedures.
- Experience with the following platforms: Microsoft Office suite, Adobe Acrobat Pro, Advent, FIS TrustDesk, SMARSH.
In joining our team, you will work with talented, high-achieving people who come together to serve and support our clients and each other. We offer highly competitive pay and benefits with professional development and growth opportunities.
Bridges Trust is an equal opportunity employer that is committed to diversity and inclusion in the workplace. We prohibit discrimination and harassment of any kind based on race, color, sex, religion, sexual orientation, national origin, disability, genetic information, pregnancy, or any other protected characteristic as outlined by federal, state, or local laws.