POSITION SUMMARY

The Wealth Quality Control & Operational Risk Associate supports the quality assurance process across client onboarding, transaction monitoring and operational compliance This role supports adherence to regulatory standards, internal policies, and service excellence. This role is part of the first line of defense in risk mitigation.

EDUCATION & EXPERIENCE

• Knowledge of:
• Trust policies and procedures
• Compliance related tasks
• Legal documents
• Ability to:
• Multi-task and work independently
• Make independent decision for which there are not always precedents.
• Establish and maintain collaborative partnerships.
• Maintain confidentiality
• Education and Training:
• Bachelor’s degree focus in Finance, Business Administration or relate area or 6 years Wealth Management experience.
• Requires 2 or more years of related Service Support, Operations or Trust Administration experience.
• Certified Wealth Management Specialist or Certified Trust and Fiduciary Advisor (CTFA) or Certified Trust Operations Professional (CTOP) preferred.

• Quality Control Execution:
• Conduct quality assurance checks for new accounts ensuring data accuracy, mitigation of compliance issues, and verifying proper account documentation information.
• Conduct quality assurance reviews for transactions and other activities as outlined in the quality assurance program.
• Identify errors or gaps and work with leadership to identify corrective action.
• Audit and Exam Support:
• Support audit and exam requests, including SOC exam efforts.
• Demonstrate working knowledge of existing laws and regulations by incorporating adequate controls within processing activities, resulting in minimal audit and examination exceptions.
• Collaboration and Communication:
• Maintain strong working relationships within the Wealth Management line of business. Take appropriate action to create positive outcomes that support growth, efficient processing, and positive customer service experiences.