Compliance Officer (Project Management)
Wintrust Wealth Management serves the financial needs of private clients, including high net worth individuals, business owners, and institutions. Since our founding in 1931, we have been helping clients meet their increasingly complex financial goals with the highest standards of service and integrity. Through our four companies, Wintrust Investments LLC, Wintrust Private Trust., Great Lakes Advisors LLC, and The Chicago Deferred Exchange Company LLC, we offer comprehensive wealth management solutions, including investment, trust, and asset management services. Wintrust Wealth Management is a division of Wintrust, a financial services company with more than $66 billion in assets.
Why join us?
Wintrust is a financial holding company with approximately $50 billion assets under management and traded on the NASDAQ: WTFC. Built on the "HAVE IT ALL" model, Wintrust offers sophisticated technology and resources of a large bank while focusing on providing service-based community banking to each and every customer. Wintrust operates fifteen community bank subsidiaries with over 170 banking locations in the greater Chicago and southern Wisconsin market areas. Additionally, Wintrust operates various non-bank business units including commercial and life insurance premium financing, short-term accounts receivable financing, out-sourced administrative services, mortgage origination and purchase, wealth management services and qualified intermediary services for tax-deferred exchanges.
Wintrust Wealth Management serves the financial needs of private clients, including high net worth individuals, business owners, and institutions. Since our founding in 1931, we have been helping clients meet their increasingly complex financial goals with the highest standards of service and integrity. Through our four companies, Wintrust Investments LLC, Wintrust Private Trust., Great Lakes Advisors LLC, and The Chicago Deferred Exchange Company LLC, we offer comprehensive wealth management solutions, including investment, trust, and asset management services. Wintrust Wealth Management is a division of Wintrust, a financial services company with more than $66 billion in assets
Why Join this Team:
We are a growing team with a fast-paced, collaborative, team-centric, positive culture
We hold ourselves to the highest standard of service and integrity in the industry
We have a strong reputation for quality service and impeccable ethics
Strong track record of valuing and investing in existing talent by providing opportunities for growth and advancement
What you will be doing:
As a member of the compliance team, involved in ensuring trust company adheres to all relevant laws, regulations, and internal policies related to trust administration, fiduciary duties, and investment management
Work with trust team to ensure compliance with applicable federal and state fiduciary, securities, investment regulations, OCC, ERISA and DOL reporting and filing requirements as applicable
Conduct compliance monitoring and testing reviews to evaluate the effectiveness of internal policies, procedures and processes, and contribute to reports on monitoring and testing findings provided to management
Detail-oriented, organized and ability to manage multiple projects simultaneously
Able to analyze data, identify trends, and effectively communicate information to stakeholders
Identify and assess potential compliance risk and contribute to develop strategies to mitigate the risk
Work independently and as part of a team
Conduct periodic training with Trust personnel concerning regulatory requirements.
Assist with audits and regulatory examinations, including document gathering, responding to requests, when required
Perform other duties as needed from time to time
Qualifications:
5+ years compliance, audit, or risk management experience
Experience with BSA/AML compliance
Bachelor's Degree and/or relevant compliance certifications
Benefits:
Medical Insurance • Dental • Vision • Life insurance • Accidental death and dismemberment • Short-term and long-term Disability Insurance • Parental Leave • Employee Assistance Program (EAP) • Traditional and Roth 401(k) with company match • Flexible Spending Account (FSA) • Employee Stock Purchase Plan at 5% discount • Critical Illness Insurance • Accident Insurance • Transportation and Commuting Benefits • Banking Benefits • Pet Insurance
Compensation:
The estimated salary range for this role is $85,000-$110,000, along with eligibility to earn production bonuses. Actual salaries may vary based on several factors, such as a candidate's qualifications, skills and experience.
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From our first day in business, Wintrust has been proud to serve a variety of unique communities and people from all walks of life. To build a company that reflects the communities we serve, we believe that fostering a unique and inclusive workplace where everyone feels valued and empowered to succeed will support our ongoing success. Wintrust Financial Corporation, including community banking and financial services subsidiaries, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, national origin, disability, veteran status, genetic information, and other legally protected categories.
