Wealth Management Compliance Jobs (NOW HIRING)

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 analytical, detail-oriented, and interested in applying your compliance expertise within Wealth Management. At C&N, we’re seeking a Wealth Management Compliance Officer to help administer and support the compliance program for our Wealth Management division. 

In this role, you’ll perform compliance monitoring and testing, evaluate risks and controls, monitor regulatory developments, support audits and examinations, and help ensure policies and procedures remain aligned with applicable requirements. If you enjoy research, problem-solving, and navigating complex regulations while partnering with others to strengthen compliance, this could be a great opportunity for you.

You will be responsible for:

1. Compliance Program Administration: Support and administer the Wealth Management compliance program, including BSA/OFAC activities, regulatory monitoring, risk assessments, control reviews, Reg. 9 reviews, and policy and procedure maintenance.   

2.  Monitoring, Testing & Risk: Perform risk-based compliance monitoring and testing, review fiduciary and operational activities, evaluate controls, identify potential deficiencies, and support corrective actions and remediation efforts.  

3.  Regulatory Guidance & Training: Provide compliance reporting, regulatory guidance, and training while assisting management and teammates with the interpretation and application of established policies, procedures, and regulatory requirements.    

4.  Audit & Examination Support: Support internal and external audits and regulatory examinations by coordinating documentation, assisting with responses, and working collaboratively with Risk Management, auditors, and examiners.  

5.  Program Administration: Administer C&N’s Medallion Stamp Program, including training and certification coordination, documentation, and ongoing support to Bank staff.

Requirements:

Education & Experience – You will need a Bachelor’s Degree in a related field AND one 2-4 years of previous related experience and/or training OR an equivalent combination of education and experience.

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 Compliance
• Risk Assessment
• Critical Thinking
• Problem Solving
• Organization & Time Management
• Collaboration & Relationship Building

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.