Enterprise Bank & Trust was founded in the spirit of entrepreneurship and community. From the small mom-and-pop coffee shop to the large construction company that employs local people, our goal is to help businesses succeed and our communities thrive.
With offices in Arizona, California, Florida, Kansas, Missouri, New Mexico, Nevada and Texas, we’re strong, growing and committed to supporting the communities we serve. We extend this commitment to the community to our associates, offering annual paid volunteer time off and charitable-matching opportunities. Voted a Best Bank to Work For by American Banker for multiple years, we offer our associates an array of benefits and the opportunity to chart their own career path with us. Join us in the pursuit of our mission to guide people to a lifetime of financial success, and enjoy a career filled with professional growth opportunities, interesting colleagues and the satisfaction of supporting our communities.
Together, there’s no stopping you!
Job Title:Wealth Management Compliance SpecialistJob Description:Summary
Responsible for all Wealth Management compliance activities. Responsible for following compliance procedures and ensuring that Wealth Management compliance activities are completed accurately and on a timely basis.
Essential Duties and Responsibilities:
- Complete Monthly House Account Reconciliation
- Run monthly new account reports and compile the New Account Review Memo
- Run monthly closed account reports and compile closed account review tracking report
- Run monthly account reports and complete a compliance review for a select number of accounts
- Compile Trust Compliance Committee reports.
- Creating the New account and Closed account reports as well as the Admin and Investment Review reports (completed review, review exceptions, and overdue reports for the committee.
- Fidelity IWS Scorecard and NIGO report
- Compile the Fee Committee Reports monthly
- Monitor Alerts for NIGOs, Rejects and Awaiting Client Review
- Maintain the account reviews for Admin and Investment modules
- This includes Maintaining group account reviews
- Running and maintaining Admin/Investment Reviews
- Complete the Reg R report and put together the Reg R memo
- Complete the quarterly 13f and RCT reports
- Complete the monthly Wealth Management Snapshot
- Monitor and Calculate RMD
- Pull new RMD report in February
- Monitor status of RMD payments
- Track RMD exceptions
- Calculate RMD for Inherited IRAs
- Send Annual ADV notices
- Collect ADV notices for each Separate Account Manager
- Send notices to clients through Groove
- Serve as a backup for New and Closed Accounts
- Serve as a backup for Fee Processing
- Perform other duties as required
Qualifications:
- Excellent knowledge of investment and compliance regulations.
- Must have excellent communication skills in order to coach, mentor, and train all members of the Wealth Management team on compliance tasks.
- Ability and willingness to independently solve complicated compliance issues
- Proven ability to identify and improve efficiency of processes and procedures.
- Ability to work in a high paced team environment, recognizes and acts on changing priorities
- Strong verbal and written communication skills
- Strong analytical and decision making skills based on thoughtful assessment of risk and attention to detail along with good judgement and character.
- Effective time management and organizational skills are required for daily multi-tasking.
Supervisory Responsibilities
- None
Education and/or Experience:
- Bachelor’s degree in business, finance, or related field
- A minimum of 5 years of compliance experience for a trust company or wealth management firm
Computer and Software Skills:
- Microsoft Office (required) with intermediate excel skills
- Wealthscape
- Trust Desk or Fi-tek
- Salesforce
Certificates, Licenses and Registrations:
- None
Equal Opportunity Statement:
Enterprise Bank & Trust is committed to helping individuals with disabilities participate in the workforce and ensuring equal opportunity to apply and compete for jobs. If you need an accommodation in order to apply for a position at Enterprise Bank & Trust please contact Human Resources at [email protected].
Enterprise Bank & Trust is committed to managing our business and community relationships in ways that positively impact our associates, clients, and the diverse communities where we work and live. We are proud to be an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, pregnancy, genetic information, disability, status as a protected veteran, or any other protected category under applicable federal, state, and local laws. All employment offers are contingent upon the applicant successfully completing both drug and background check screenings. If you would like more information about your EEO rights as an applicant under the law, please click HERE.
Skills Required
- Bachelor's degree in business, finance, or a related field
- At least 5 years of compliance experience at a trust company or wealth management firm
- Excellent knowledge of investment and compliance regulations
- Excellent communication skills for coaching, mentoring, and training Wealth Management team members
- Ability to independently solve complicated compliance issues
- Ability to identify and improve process and procedure efficiency
- Ability to work in a fast-paced team environment and manage changing priorities
- Strong verbal and written communication skills
- Strong analytical and decision-making skills, risk assessment ability, attention to detail, and sound judgment
- Effective time management and organizational skills
- Microsoft Office proficiency with intermediate Excel skills
- Experience with Wealthscape
- Experience with Trust Desk or Fi-tek
- Experience with Salesforce
Enterprise Bank & Trust Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Enterprise Bank & Trust and has not been reviewed or approved by Enterprise Bank & Trust.
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Healthcare Strength — Medical, dental, and vision coverage with wellness incentives, along with disability, life insurance, and an EAP, form a comprehensive health protection set. The breadth of health-related offerings indicates strong support for wellbeing.
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Retirement Support — A 401(k) with a competitive company match is emphasized as part of financial health benefits. This underscores meaningful support for retirement savings.
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Leave & Time Off Breadth — Paid time off, paid holidays, volunteer time off, and paid parental leave are all included. The range of leave options supports work‑life balance across different needs.
Enterprise Bank & Trust Insights
What We Do
Enterprise Bank & Trust’s unwavering commitment is to guide people to a lifetime of financial success. We deliver on this promise by: · Empowering private businesses to improve their success · Helping families to secure their financial futures · Investing in our communities to advance quality of life Our success is because of our people and culture. We hire the best people in the industry and foster a culture of personal service. This is because we are more than a bank, we are an enterprising financial partner. Let’s start a conversation. Enterprise Financial Services Corp (NASDAQ: EFSC) www.enterprisebank.com Equal Housing Lender Member FDIC
