Senior Compliance Advisor Wealth​/Trust

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

We are currently seeking a Senior Compliance Advisory Services Officer who will serve as the primary Compliance Department point of contact for assigned lines of business and/or regulatory topics. This individual is responsible for pro-actively advising on all applicable federal and state regulatory compliance matters pertaining to the Wealth Division of the Bank; ensuring the Corporate Compliance Program is appropriately implemented;

and promoting a strong compliance culture. This role will report to the Compliance Advisory Services Manager and is part of the Compliance/Risk Management team (the "second line of defense"). This position is a senior level role that will be expected to regularly interact with stakeholders, including business management, first line Business Risk Officers, other Compliance and Risk team subject matter experts, internal legal counsel and others.

This position requires someone with the following qualifications:

* Direct exposure to trust services, broker‑dealer oversight, private banking, and RIA models

* Strong federal and state regulatory knowledge applicable to the above mentioned Wealth lines of business

* Investments and suitability analysis

* Advisor compensation, referrals, conflicts and disclosure requirements

* Experience with regulatory exams (OCC, SEC, FINRA and state)

* Wealth applicable certifications such as the CRCP, CRCM, CTFA, or other certificates in Fiduciary Risk and Compliance, Trust Administration, etc…

Salary Range

The salary range for this position is $60,000 - $121,300 per year plus bonus. The base salary indicated for this position reflects the compensation range applicable to all levels of the role across the United States. Actual salary offers within this range may vary based on a number of factors, including the specific responsibilities of the position, the candidate's relevant skills and professional experience, educational qualifications, and geographic location.

Key Accountabilities

Overseeing the effectiveness of the Line of Business Compliance Program:

* Working with the line of business to complete and maintain current compliance risk assessments.

* Ensuring appropriate business policies and procedures for applicable regulatory requirements.

* Conducting ongoing monitoring related to key compliance risks.

* Assessing regulatory compliance training needs for the assigned businesses, reviewing course content, and ensuring appropriate role assignments.

* Investigating root causes of compliance findings (issues) and compliance-related complaints to identify trends and ensuring appropriate corrective action is taken.

* Ensuring business process or system changes address regulatory requirements.

* Reporting and escalating concerns to Compliance and line of business management.

Proactively work with business personnel and stakeholders to mitigate compliance risk:

* Serve as the regulatory compliance subject-matter-expert to the line of business for:

* Researching and advising on general compliance questions.

* Supporting the development of…