Trustmark

  • Compliance Risk Analyst III-Wealth Mgmt

    Location US-MS-Jackson
    Posted Date 1 month ago(10/23/2018 4:33 PM)
    Job ID
    2018-11167
    Category
    Compliance
    Type
    Regular Full-Time
    Job Grade
    9
    FLSA Status
    Non-Exempt
    Working Hours
    8:00 a.m. - 5:00 p.m.
    Job Location: Company
    Compliance - 0050
  • Overview

    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. 

    Responsibilities

    • 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.

    Qualifications

    • 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.

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