Heartland Financial USA
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COMP12 PCS Compliance Officer
at Heartland Financial USA
Heartland Financial USA, Inc. is a growing dynamic organization with many locations offering uniquely different banking and financial solutions for businesses and personal clients. As a performance driven company, we strive to create a culture of excellence with high standards, and high values while providing outstanding growth and involvement opportunities for employees. Join a team that makes "Great Things Happen!"
Under direction of the HTLF Compliance Director, the PCS Compliance Officer will assist with the ongoing administration of the Heartland Financial Compliance Management System (CMS). The PCS Compliance Officer’s job responsibilities will encompass the following within the Private Client Services Department.
PRIMARY & ESSENTIAL RESPONSIBILITIES:
1. Provide leadership and oversight of compliance and risk management requirements for applicable lines of business
2. Maintain a working knowledge of existing FINRA, MSRB, DOL, FDIC, FRB , SEC RIA and Broker/Dealer laws, rules and regulations and understanding of new/proposed laws, rules and regulations in a timely manner.
3. Maintain a working knowledge of existing laws, rules, regulations and fiduciary principals and understanding of new/proposed laws, rules and regulations in a timely manner.
4. Manage resources to provide timely support to business unit's questions regarding compliance matters.
5. Monitor new and proposed laws and regulations in a timely manner and evaluate each for the proper level of attention and communicate the requirements to business partners.
6. Represent Corporate Risk Management during the product/service development to assure accurate implementation of regulatory compliance requirements.
7. Facilitate the timely completion of the compliance requirements established in HTLF’s third-party program for assigned areas of responsibility;
8. Maintain listing of relevant rules and regulations for all areas.
9. Manage the completion of compliance risk assessments, updating as applicable
10. Develop and implement appropriate compliance monitoring strategies to validate the effectiveness of compliance policies and procedures and regulatory requirements.
11. Facilitate annual review and evaluation of compliance policies and procedures and inspections of the Offices of Supervisory Jurisdiction as required by regulation.
12. Lead and assist business partners in defining corrective actions to resolve issues identified by regulatory examination, internal audit, self-assessment, or Corporate Risk Management observation.
13. Assist with regulatory inquiries and examinations and internal compliance related audits.
14. Participate in a compliance capacity in researching and reviewing consumer complaints
15. Assist with the development and maintenance of business unit’s compliance related policies and procedures.
16. Review incentive compensation plan for compliance with Regulation R and associate registration requirements.
17. Revise Corporate Risk or Corporate Compliance Management program manuals, as needed
18. Responsible to work with PCS Department Leaders to provide feedback on policies, programs, etc. on a needed basis.
REQUIRED SKILLS & EXPERIENCE:
1. 5- 7 years of trust, fiduciary or LPL experience
2. Bachelor’s degree in finance, accounting, business or other relevant field
3. Demonstrates strong working knowledge of registered investment advisor or broker-dealer regulations.
4. Demonstrates strong working knowledge of trust and fiduciary regulations and principals
5. Demonstrates proficiency in identifying and assessing compliance risks and recommending appropriate strategies to mitigate risk
6. Demonstrates ability to interact effectively with a variety of contacts, including senior management and support group
7. Demonstrates ability to develop and maintain rapport with business partners to effectively obtain and communicate compliance information
8. Demonstrates excellent written and verbal communication, organizational, problem solving, and decision-making skills
9. Demonstrates ability to detect patterns and conditions through observing processes
10. Demonstrates proficiency in documenting, evaluating, and analyzing diverse, complex company functions and processes that identify key risks and controls to facilitate the development of value-added business compliance and control improvement recommendation
11. Demonstrates ability to work independently
12. Demonstrates ability to define problems, collect data, establish facts, and draw valid conclusions
13. Demonstrates capability of multitasking a heavy workload while meeting deadlines
14. Demonstrates proficiency within Microsoft Suite (Outlook, Word, Excel, PowerPoint)
* Series 53, 24 and/or 65, or will obtain within 6 months of hire date
* Professional certification in Trust/Wealth Management Compliance or will obtain with 6 months of hire date
Scheduled Weekly Hours:40
Time Type:Full time
Founded in 1981, Heartland Financial USA, Inc. is a multi-billion multibank holding company offering uniquely different banking solutions for business and personal clients. Heartland's independent community banks are chartered in the Midwestern, Southwestern and Western United States.
The Heartland vision is to differentiate itself by highlighting its uniqueness as a commercial banking organization supported by a strong retail delivery system. As one of the top 100 bank holding companies nationwide, Heartland delivers high-quality financial products and service to clients in the Midwestern, Southwestern and Western United States.
Heartland's common stock is traded through the NASDAQ® Global Select Market System under the symbol "HTLF."
EOE/AA Employer · M/F/Disabled/Vet
Member FDIC · Equal Housing Lender
Employment at Heartland Financial USA, Inc. is employment at will