Compliance Assistant

Opportunity in Financial Services

Trust Compliance Assistant, Premier Trust

Location:  Las Vegas: 2270 Corporate Circle, Suite 220, Henderson, NV 89074

Schedule: Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants must be willing to work this schedule.

Role Type: Full-time 

Salary: $45,000 - $55,000 per year + annual bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education.

Our competitive salaries are just one component of Osaic’s total compensation package. Additional benefits include: health, vision, dental insurance, 401k, vacation and sick time, volunteer days and much more.  To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits      

Summary:

We are seeking a detail-oriented and driven individual to join the Premier Trust team, a member of Osaic. The Compliance Assistant is responsible for monitoring account distributions, reviewing OFAC and 314a reports, and supporting the compliance teams’ other tasks. Additionally, the Trust Compliance Assistant works with the Compliance Officer to ensure Premier Trust staff acts in compliance with all policies and procedures as well as all applicable state and federal regulations.

Responsibilities:

• Works closely with the BSA/Compliance Officer to ensure policies and procedures are being met by staff

• Comply with Bank Secrecy Act (BSA), OFAC Anti-Money Laundering (AML), and compliance policies related to job duties

• Review OFAC lists and 314a requests against client database, research and document potential matches

• Monitors transactions for suspicious activity

• Report any individual suspected of suspicious activity immediately to the BSA/Compliance Officer

• Coordinate with administrators to ensure account documentation is accessible for internal reviews.  

• Balancing of Accounts and review of statements

• Maintain strict confidentiality of all records and data received

• Assists compliance team with other tasks as needed

• All other duties as assigned

Education Requirements:

• Bachelor’s Degree preferred, Minimum of high school diploma or equivalent is required.

Basic Requirements:

• Knowledge of BSA/AML regulations and Nevada trust statutes

• Ability to read, analyze, and interpret trust documents

• Ability to organize, prioritize, and handle multiple tasks

• Strong analytical and problem-solving skills

• Proficient in utilizing various software packages including Microsoft Office, Outlook, Power Point, and Excel

• Effective oral, written, and interpersonal communication skills with the ability to apply common sense to carry out instructions, interpret documents, understand procedures, write reports, and speak/write clearly to customers and employees

• 1+ year of experience in financial services