Rapid City, United States

Compliance and Risk Officer

Full-time / part-time
Full-time
Level
Mid-Senior Level
Address
211 Founders Park Drive
Rapid City
57701
United States

Job description

Work within the CTC team:

·Identifying, monitoring and reporting regulatory risk within the business.

·Ensuring that applicable Compliance policies and procedures are kept up to date for changes in regulations and in regulatory expectations and that management and staff are kept apprised of such changes;

·Assisting the operational areas to identify and embed key compliance related controls, including policies and procedures;

·Escalating, managing and reporting significant legislative breaches in an independent and appropriate manner;

·Responsible for developing and executing a robust but proportionate structured Compliance Monitoring Program (CMP) in line with applicable Group standards and/or local regulatory requirements (whichever is the higher);

·Supporting applications for new or amended regulatory authorizations and licenses to ensure that we hold and maintain all necessary licenses for our regulated activities;

·Co-ordinating, managing and responding to the results of regulatory examinations and inspections;

·Perform other Compliance and Risk related responsibilities and special projects as needed

 

Qualifications

Successful candidates will have many, if not all, of the attributes below:

·Bachelor's Degree Required

·3-5 years of relevant compliance experience at a registered investment adviser, law firm, or  investment consulting firm, experience practicing law regarding registered investment companies preferred

·Strong working knowledge of the IA Act of 1940 and the ICA of 1940

·Excellent working knowledge of the local legislative and regulatory framework, and of dealing with relevant regulators.

·Knowledge of CFTC / NFA as well as FINRA requirements is a plus

·JD Preferred

Additional information

All your information will be kept confidential according to EEO guidelines.

Company description

Concord Trust Company (CTC) is a state chartered, non-depository trust company (NDTC) with operating offices in both New Hampshire and South Dakota.

​We offer “directed” or “administrative” trustee services that provide families from all over the world access to the well-established advantages of New Hampshire’s and South Dakota’s trust and trust tax laws.

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