Compliance Assistant

Osaic is a company in the financial services sector seeking a detail-oriented Compliance Assistant to join their Premier Trust team. The role involves monitoring account distributions, reviewing compliance reports, and ensuring adherence to state and federal regulations.

Responsibilities

• Works closely with the BSA/Compliance Officer to ensure policies and procedures are being met by staff
• Comply with Bank Secrecy Act (BSA), OFAC Anti-Money Laundering (AML), and compliance policies related to job duties
• Review OFAC lists and 314a requests against client database, research and document potential matches
• Monitors transactions for suspicious activity
• Report any individual suspected of suspicious activity immediately to the BSA/Compliance Officer
• Coordinate with administrators to ensure account documentation is accessible for internal reviews
• Balancing of Accounts and review of statements
• Maintain strict confidentiality of all records and data received
• Assists compliance team with other tasks as needed
• All other duties as assigned

Skills

• Minimum of high school diploma or equivalent is required
• Knowledge of BSA/AML regulations and Nevada trust statutes
• Ability to read, analyze, and interpret trust documents
• Ability to organize, prioritize, and handle multiple tasks
• Strong analytical and problem-solving skills
• Proficient in utilizing various software packages including Microsoft Office, Outlook, Power Point, and Excel
• Effective oral, written, and interpersonal communication skills with the ability to apply common sense to carry out instructions, interpret documents, understand procedures, write reports, and speak/write clearly to customers and employees
• 1+ year of experience in financial services
• Bachelor's Degree preferred

Benefits

• Health, vision, dental insurance
• 401k
• Vacation and sick time
• Volunteer days
• Much more

Company Overview