Old National Bank→
Wealth Compliance Officer, Sr at Old National Bank in US-IN-Evansville
Job Description
Wealth Compliance Officer, Sr
Overview
Old National Bank has been serving clients and communities since 1834. With over $70 billion in total assets, we are a regional powerhouse deeply rooted in the communities we serve. As a trusted partner, we thrive on helping our clients achieve their goals and dreams, and we are committed to social responsibility and investing in our communities through volunteering and charitable giving.
We continually seek highly motivated and talented individuals as our people are critical to our success. In return, we offer competitive compensation with our salary and incentive program, in addition to medical, dental, and vision insurance. 401K, continuing education opportunities and an employee assistance program are also included in our benefit suite. Old National also offers a variety of Impact Network Groups led by team members who are passionate about driving engagement, creating awareness of diverse backgrounds and experiences, and building inclusion across the organization. We offer a unique opportunity to join a growing, community and client-focused company that is firmly rooted in its core values.
Responsibilities
Position Summary
The Registered Investment Adviser (RIA) Chief Compliance Officer (CCO) is responsible for the administration of the firm’s compliance program for investment advisory activities. This role helps promote adherence to applicable federal and state regulations, internal policies, and fiduciary standards. The CCO provides guidance to senior management and employees, and works closely with Operations, Risk, and Legal to maintain records, coordinate regulatory filings, develop training activities, complete operational assignments, and help prepare for regulatory examinations and inquiries.
Salary Range
The salary range for this position is $61,200.00/Yr. - $123,700./Yr.. Final compensation will be determined by location, skills, experience, qualifications and the career level at which the position is filled.
Key Accountabilities
Technical Skill:
- Own the administration of the firm’s compliance program, including written policies and procedures.
- Monitor compliance with the Investment Advisers Act of 1940, applicable state regulations, and internal standards.
- Conduct periodic compliance reviews and identify potential areas of regulatory or operational risk.
- Update compliance manuals, code of ethics, business continuity, and related supervisory procedures.
- Coordinate required regulatory filings, including Form ADV and related disclosure updates.
- Perform assigned compliance testing and monitoring in areas such as employee trading, books and records, billing, and conflicts of interest.
- Review advertisements, websites, social media, performance presentations, endorsements, and other marketing communications for compliance with applicable regulations
- Document potential compliance issues and assist with tracking remediation efforts.
- Lead compliance training activities and provide guidance under supervision.
- Maintain records to support compliance activities, testing, attestations, and annual reviews.
- Prepare for regulatory examinations, audits, and information requests.
- Collaborate with legal, operations, technology, and business teams on compliance-related processes and initiatives.
- Prepare draft compliance reports, summaries, and status updates for review by senior compliance staff or management.
- Manage external consultants and ensure the compliance program has appropriate resources and expertise
- Provide oversight of vendor relationships and technology platforms supporting the compliance program
- Complete operational assignments that help drive the business forward.
Effective Communication
- Establish a strong working relationship with risk, legal, operations, wealth advisors, portfolio managers, research team members, and administrative staff
Team Participation:
- Participate and lead team meetings and trainings
- Collaborate with team members and internal partners to maintain a strong culture of compliance
Key Competencies for Position
- Technical Knowledge – Substantial compliance, legal, risk, audit, or regulatory experience within a Registered Investment Adviser (RIA). Strong working knowledge of the Investment Adviser’s Act of 1940. Demonstrated ability to interpret regulatory requirements, assess risk, design and test controls, submit regulatory filings, and document policies and procedures.
- Decision Making – High degree of integrity, sound judgment, discretion, and professional independence.
- Communicating with Impact – Demonstrate excellent verbal and presentation skills.
- Team Member - Demonstrate ability to build a collaborative working environment among team members and internal partners.
- Attention-to-Detail – Ensure that all deliverables consistently meet the highest standard of quality and accuracy.
Qualifications and Education Requirements
- Bachelor’s degree in business, finance, accounting, economics, legal studies, or a related field
- 8-10 years of experience in compliance, risk, audit, operations, financial services, or a related field
- Series 65, or willingness to earn a series 65 license within 3 months of employment
- Professional compliance certification preferred
Key for Success/Key Deliverables:
- A successful candidate builds credibility through reliability, sound judgment, and a willingness to learn while contributing to a strong culture of compliance.
- Strong attention to detail, accurate and timely completion of assigned compliance tasks, effective documentation, and a growing understanding of regulatory requirements and internal procedures
- Positivity and collaborative approach in assisting both colleagues and internal partners and the ability to work in team environment.
- Someone who will embody our Old National Values of integrity, collaboration, excellence, and inclusion.
Old National is proud to be an equal opportunity employer focused on fostering an inclusive workplace and committed to hiring a workforce comprised of diverse backgrounds, cultures and thinking styles.
As such, all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, protected veteran status, status as a qualified individual with disability, sexual orientation, gender identity or any other characteristic protected by law.
We do not accept resumes from external staffing agencies or independent recruiters for any of our openings unless we have an agreement signed by the Director of Talent Acquisition, to fill a specific position
Our culture is firmly rooted in our core values.
We are optimistic. We are collaborative. We are inclusive. We are agile. We are ethical.
We are Old National Bank. Join our team!