Senior Wealth Management Compliance Officer

Who are we?

For over 160 years, C&N has been committed to creating value through lifelong relationships with our customers, communities, shareholders, and teammates. What sets us apart from other banks is our unwavering dedication to embodying our values of teamwork, excellence, respect, responsibility & accountability, integrity, and having fun in everything we do, daily.

From partnering closely with our customers and guiding them toward their life aspirations to supporting our local communities through our many initiatives, including “Giving Back, Giving Together,” to making the best decisions for the long-term interests of our shareholders, C&N is committed to being the only financial institution that our customers will ever need.

At the heart of what we do are our employees! C&N is a team of passionate, imaginative professionals dedicated to making a positive difference. We believe in fostering a culture where every employee thrives. Join us to be part of a team that values innovation, collaboration, and excellence, where your career aspirations are supported, and your talents are appreciated.

Who are you?

You’re an experienced compliance professional who can confidently navigate complex regulations, evaluate risk, and provide thoughtful guidance to leaders. At C&N, we’re seeking a Wealth Management Senior Compliance Officer to provide independent compliance oversight for our Wealth Management division. 

In this role, you’ll oversee compliance monitoring and testing, interpret regulatory requirements, evaluate risks and controls, govern policies and procedures, and coordinate audit and examination activities. You’ll also serve as a trusted compliance resource to Wealth Management leadership. If you enjoy combining regulatory expertise, independent judgment, and strategic partnership to strengthen a compliance program, this could be an exciting next step in your career.

You will be responsible for:

1. Compliance Oversight & Governance: Provide independent oversight of the Wealth Management compliance program, including BSA/OFAC activities, regulatory interpretation, risk assessments, Reg. 9 reviews, and policy and procedure governance.   

2.  Monitoring, Testing & Risk Management: Oversee and evaluate risk-based compliance monitoring and testing, assess fiduciary controls and operational activities, identify compliance weaknesses, and recommend and monitor corrective actions.  

3.  Regulatory Guidance & Leadership Support: Serve as a compliance resource to Wealth Management leadership by interpreting regulatory requirements, evaluating emerging compliance issues, providing recommendations, and delivering compliance reporting and training.  

4.  Audit & Examination Coordination: Coordinate internal and external audits and regulatory examinations, evaluate findings, oversee responses and documentation, and assist management with corrective action and remediation plans.  

5.  Program Oversight: Oversee C&N’s Medallion Stamp Program, including training and certification requirements, program controls, documentation, and ongoing guidance to Bank staff.

Requirements:

Education & Experience – You will need a Bachelor’s Degree in a related field AND one 4-6 years of previous related experience and/or training OR an equivalent combination of education and experience. A Master’s Degree in a related field, including an MA or MBA, is preferred.

Preferred Certifications – Certified Trust and Fiduciary Advisor (CTFA), Certified Fiduciary & Investment Risk Specialist (CFIRS), or Certified Regulatory Compliance Manager (CRCM).

Skills – You should possess well-developed abilities and a proven track record in the following areas:

• Strong Communication 
• Attention to Detail
• Research Skills
• Analytical Skills
• Regulatory Interpretation
• Compliance & Risk Management
• Critical Thinking
• Strategic Thinking
• Problem Solving & Decision Making
• Relationship Management
• Collaboration & Influence

Key Competencies – The combination of skills, behaviors, and attributes required to perform effectively in a role and achieve organizational goals include:

• Drives Results: Achieves goals despite challenges and motivates others to deliver strong outcomes.
• Ensures Accountability: Takes ownership, follows through on commitments, and holds self and others responsible for results.
• Customer Focus: Delivers tailored solutions, exceeds expectations, and builds strong customer relationships.
• Manages Complexity: Analyzes situations, gathers data, and evaluates options to solve complex problems effectively.
• Interpersonal Savvy: Builds positive relationships across levels, functions, and cultures with diplomacy and tact.
• Drives Vision & Purpose: Inspires optimism for the future, rallies support for organizational goals, and communicates a relatable and motivating vision.

Why C&N?

At C&N, we’re more than just a team – we’re a community working together toward a shared mission: the success of our customers, teammates, shareholders, and communities.

• Achieve & Grow: Your success is our success. At C&N, you’ll grow alongside our customers as we work together to achieve meaningful goals.
• Learn & Develop: Collaboration is at the heart of what we do. You’ll learn from and with your teammates, fostering both personal and professional growth.
• Contribute & Be Rewarded: Your contributions make a difference, and we recognize your impact through competitive rewards and career advancement opportunities.
• Share & Celebrate: Together, we give back and celebrate the milestones that matter to our communities.

We’re proud of our award-winning workplace culture, recognized repeatedly with the NBRI Circle of Excellence Award. At C&N, we live our values every day, creating a supportive, inclusive, and dynamic environment where you can thrive.

Comprehensive Benefits for Your Success:

At C&N, we offer more than just a competitive salary – our robust benefits package is designed to support your well-being, career growth, and work-life balance. Highlights include:

• Paid Time Off: Generous vacation, personal, sick, family sick, and community service leave.
• Retirement Savings: 401(k) with pre-tax and ROTH contribution options and a safe harbor match, plus an Employee Stock Ownership Plan (ESOP).
• Health & Wellness:
  • Health, dental, and vision coverage, including employer-paid premium options for employee-only coverage.
  • Health Savings Account (HSA) and Flexible Spending Accounts (FSAs) for medical and dependent care.
  • Employer-paid life and disability insurance.
  • Additional voluntary coverages to meet your unique needs.
• Career Development: Access to education and development programs and ongoing support for personal and professional growth.

With C&N, you can customize your benefits to fit your life while growing your career in a supportive and rewarding environment.