WacoRecruiter Since 2001
the smart solution for Waco jobs

Compliance Manager

Company: STRATA Trust Company
Location: Waco
Posted on: September 8, 2019

Job Description:

STRATA Trust Company is a fast-growing self-directed IRA custodian which serves individuals and institutional clients nationwide that invest in alternative assets using their retirement funds. Self-directed IRAs allow individuals to save for retirement by providing a wider array of investment options than banks and brokerage firms. Investments include alternative investments such as real estate, trust deeds, precious metals, private equity and debt offerings, as well as crowdfunding and other investment portals, and more. As a subsidiary of Horizon Bank based in Austin, Texas, the company is regulated by federal and state banking authorities. We have an immediate opening for a Compliance Manager in our Waco office. In this role you will assist with managing STRATA’s Compliance and Risk Management Program to ensure that each functional area of STRATA operates in compliance with all applicable laws, regulations, and internal policies. Duties may include, but are not limited to, STRATA’s internal audit process, assisting with Bank Secrecy Act responsibilities, manage the onboarding of new assets, and playing a critical role in the success of the company’s overall risk management program. Meanwhile, you will have the full support of STRATA’s highly experienced team. Our trajectory of growth is exciting, and we are ready to take it to the next level with high-energy individuals who love to work in a fast-paced environment and be valuable contributors to our future growth and success. That is just part of the reason that STRATA Trust Company is such a great place to work! What success looks like as a Compliance ManagerAssets are set up in our system correctly and quickly as part of onboarding new investmentsInternal audits are correct and complete, on timeCompany performance improves as a result of audit-related feedbackTeammates can rely on you to get things done, support them, and live STRATA’s Bedrock Values ResponsibilitiesIndependently review and analyze various technical resources including but not limited to: The Internal Revenue Code, Treasury and Department of Labor regulations, as well as various industry publications, periodicals and e-resources to determine if changes are necessary to the company’s policies, procedures, client agreements, marketing material, or website.Provide guidance on any necessary changes to policies and procedures as required based on changes to laws and regulations. Manage and performance of administrative reviews as part of the new asset onboarding process Manage and review OFAC and FinCEN 314(a) watchlist search resultsAssist with the performance of all account and asset risk auditsReview internal audits relative to internal risk management reportsAssist with coordinating and/or initiating responses to requests for records by regulators or attorneys as well as complaints from customers. Properly document receipt of requests/complaints and ensure responses are timely. Performs review of the records requested to identify potential suspicious activity that must be reported to the BSA Officer to maintain STRATA’s compliance with regulatory reporting requirements.Demonstrate a thorough understanding of STRATA’s investment-related administrative requirements and policies, including a general knowledge of regulatory procedures concerning investment-related issues.Assists in the development of department employees by providing coaching, recognition, motivation, and feedback on a consistent basis, and monitors staff to ensure work is processed and performed in accordance with STRATA policiesAlong with the rest of the management team, act as a leader within STRATA, driving the vision, living the values, and reinforcing expectationsHave excellent verbal and written communication skills as tasks may include generating and mailing client correspondenceMaintain a positive work environment while making sure that the policies and procedures are being followedOther duties as assigned/taken on. QualificationsSpecific requirements include:Bachelor’s Degree and/or 5 years equivalent Compliance work experience in financial services or similar industry, with demonstrated reliability, skills, aptitude, and abilities to perform the duties of this position.Demonstrated technical knowledge of retirement plan law relating to Individual Retirement Accounts. Must also demonstrate knowledge of Bank Secrecy Act, GLBA, and USA PATRIOT Act, (BSA/AML Laws) and be able to support company’s efforts around BSA/AML. Desired Skills/Experience: Aptitude for accuracy and attention to detail Proven problem-solving skillsKnowledge of investments or experience with investment processing, particularly if it includes real estate or other alternative asset transactions. Prior bank or financial service operations experience preferredExceptional organizational skills requiredAbility to prioritize and work well under deadlines Strong communication and listening skills Must be proficient in Microsoft Office– Outlook, Word, and Excel All full-time employees are eligible to participate in our healthcare plans including medical, dental & vision; life/AD&D insurance, our robust 401k plan, and paid time off. Interested? If you think that you could be the perfect fit, please apply now. Submit your resume and contact information for consideration. Good luck, and we look forward to hearing from you! At STRATA Trust, we rely on diversity of culture and thought to deliver on our goals. To ensure this we seek talented, qualified people for all of our career opportunities, regardless of race, color, sex/gender, including pregnancy, gender identity and expression, national origin, religion, sexual orientation, disability, age, marital status, veteran status, or any other protected classification under federal, state and/or local laws. Horizon Bank is proud to be an Equal Employment Opportunity/Affirmative Action Employer.

Keywords: STRATA Trust Company, Waco , Compliance Manager, Other , Waco, Texas

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category
within


Other Other Jobs


Licensed Medicare Insurance Agent - Total work freedom, in-AEP commission
Description: Medicare Insurance Agent Industry-best comp plan, total work freedom Join the revolutionary ASSURANCE platform, and earn from the industry s best comp plan, selling trusted Medicare plans to inbound, (more...)
Company: Assurance
Location: Temple
Posted on: 09/23/2019

Custodians
Description: Custodians 10.52 - 12.75/per hour Full-Time Primary Purpose: Follow routine cleaning and maintenance procedures to maintain a high standard of safety, cleanliness, and efficiency of building operations (more...)
Company: College Station ISD
Location: College Station
Posted on: 09/23/2019

CDL-A FLATBED TRUCK DRIVERS - GREAT PAY AND HOMETIME!
Description: CDL-A Flatbed Company Driver Jobs Pay and Home Time you can count on If you are looking to drive for a company where you
Company: Schilli Transportation
Location: Georgetown
Posted on: 09/23/2019


Grocery Shopper and Delivery Driver
Description: Shipt is a membership-based marketplace that helps people get the things they need, like fresh produce and household essentials, from stores they trust. Help people save time and have fun while you're (more...)
Company: Shipt
Location: Georgetown
Posted on: 09/23/2019

Collections Specialist - Bilingual
Description: JOB DESCRIPTIONAlltran has openings for Lease Ending Service Associates. Self-schedule your interview for same day interviewing The Lease Ending Service Associate LES assists consumers with inquiries (more...)
Company: Alltran
Location: Bryan
Posted on: 09/23/2019

OTR CDL A Truck Drivers w/ Tanker - Competitive Pay & Strong Miles!!
Description: OTR CDL A Truck Drivers w/ Tanker- 2.5-3 WEEKS OUT longer time out can be considered 2-3 days off Constant freight-always moving .47 mile un/loaded .11 considered per diem tax free -under
Company: Indian River Transport
Location: Temple
Posted on: 09/23/2019

Tired of the 9 to 5?
Description: Are You Motivated Be part of the Largest Health Benefits Discount company in the nation and assist people with their
Company: MAH Benefits
Location: Temple
Posted on: 09/23/2019

Med Surg Ortho RN Resident February Cohort
Description: Description SHIFT: Nights rotating weekends br br SCHEDULE: Full-time br br With morethan 110 sites across Central Texas, St. David---s HealthCare includes seven ofthe area---s leading hospitals (more...)
Company: St. David's Georgetown Hospital
Location: Georgetown
Posted on: 09/23/2019

Substance Abuse Counselor II
Description: Position Summary: br br Reports to the senior counselor. Performs highly complex substance abuse counseling work within DWI programs. Work involves planning, coordinating, and implementing substance (more...)
Company: Management & Training Corporation
Location: Bryan
Posted on: 09/23/2019

Transcriber for Law Enforcement Audios (Remote)
Description: Net Transcripts is looking for many vendors / independent contractors who have experience transcribing audio content of criminal investigations, court proceedings, law enforcement interviews, jail calls, (more...)
Company: Net Transcripts
Location: Temple
Posted on: 09/23/2019

Log In or Create An Account

Get the latest Texas jobs by following @recnetTX on Twitter!

Waco RSS job feeds