HTLF · 13 hours ago

Wealth Management Regulatory & Reporting Lead

United States

Full-time

Remote

Senior Level

$69K/yr - $90K/yr

3+ years exp

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Responsibilities

Leads coordination of internal/external audits, BSA/AML examinations, and FDIC/State examinations associated with WM administration and operations for HTLF member banks.

Maintains and ensures accuracy of reports in accordance with department policy and regulatory requirements in accordance with deadlines.

Primary owner of policy and committee charters.

Collaborates in the development, drafting, oversight and review of processes and procedures to ensure compliance.

Responsible for tracking and the resolution of any audit, risk, or regulatory findings and coordinates research of compliance issues as they relate to the administration of WM accounts.

Acts as the primary WM liaison for HTLF Bank Secrecy Act (BSA), Risk Management, Compliance, Internal Audit, Finance, and Information Security departments and completes related requirements including associated required annual training.

Maintains and provides reports required for WM management, RPS management, audit, and internal compliance and ensures accuracy of reporting.

Facilitates Oversight Committee meetings and prepares administrative reports required for the DB&T Trust Committee meetings.

Oversees all system access as it pertains to WM.

Maintains a working knowledge of existing laws, rules, regulations and fiduciary principals and understanding of new/proposed laws, rules and regulations.

Completes annual E-Learning Plan and Bank Secrecy Act (BSA) training as assigned and keeps up-to-date knowledge of BSA as it relates to the job function.

Performs other duties as assigned.

Qualification

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