The purpose of this job is to conduct compliance reviews, provide analysis and assess risks for Trustmark Investment Advisors, Inc., the Trust Group, and Trustmark Financial Services.
Performs compliance reviews and monitoring procedures.
Analyzes compliance testing and monitoring results to determine if compliance violations/findings have occurred and evaluate root causes(s). Reports violations/findings along with corrective-action recommendations based on root causes to management.
Manages projects as assigned.
Utilizes multiple compliance resources (seminars, computer-based training, conferences, and manuals) to maintain the highest level of understanding of changes in the regulatory environment.
Assists with special projects as assigned within Wealth Management Compliance.
Knowledge of federal securities laws
Knowledge of fiduciary laws and regulations
Experienced level of understanding of internal controls and corresponding processes
Working knowledge of a complex business unit within the financial services industry
Working knowledge of Microsoft Office including Excel
Knowledge of ERISA Laws and Related Internal Revenue Code (IRC) requirements for retirement plans
Excellent time management skills with a detail-oriented diligence given toward tasks
Problem solving/decision making skills
Effective verbal and written communication skills
Strong interpersonal skills
Bachelor’s Degree in a business related field and three years of experience in a compliance or audit role, bank trust department role or other related role within the financial services industry.