Compliance Assistant

Advisor Group•Henderson, NV

2d•$45,000 - $55,000•Hybrid

About The Position

We are seeking a detail-oriented and driven individual to join the Premier Trust team, a member of Osaic. The Compliance Assistant is responsible for monitoring account distributions, reviewing OFAC and 314a reports, and supporting the compliance teams’ other tasks. Additionally, the Trust Compliance Assistant works with the Compliance Officer to ensure Premier Trust staff acts in compliance with all policies and procedures as well as all applicable state and federal regulations.

Requirements

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
Minimum of high school diploma or equivalent is required

Nice To Haves

Bachelor’s Degree preferred

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