Wealth Compliance Officer, Sr

Old National Bank•Evansville, IN

About The Position

The Registered Investment Adviser (RIA) Chief Compliance Officer administers the firm’s compliance program for investment advisory activities. The role promotes adherence to applicable federal and state regulations, internal policies, and fiduciary standards. The CCO provides guidance to senior management and employees and works with Operations, Risk, and Legal to maintain records, coordinate regulatory filings, develop training, complete operational assignments, and prepare for regulatory examinations and inquiries. The position supports compliance for the firm’s investment advisory activities, including written policies and procedures, compliance reviews and testing, risk identification, marketing communications review, regulatory filings, training, documentation, remediation tracking, and regulatory examination preparation. It also collaborates with internal teams and manages external consultants, vendor relationships, and technology platforms supporting the compliance program. The stated salary range is $61,200 to $123,700 per year. Final compensation depends on location, skills, experience, qualifications, and the career level at which the position is filled.

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.
Substantial compliance, legal, risk, audit, or regulatory experience within a Registered Investment Adviser (RIA).
Strong working knowledge of the Investment Advisers Act of 1940.
Ability to interpret regulatory requirements, assess risk, design and test controls, submit regulatory filings, and document policies and procedures.
Series 65 license, or willingness to earn the license within 3 months of employment.
High integrity, sound judgment, discretion, and professional independence.
Excellent verbal and presentation skills.
Ability to build a collaborative working environment with team members and internal partners.
Strong attention to detail and commitment to quality and accuracy.
Reliability, accurate and timely completion of compliance tasks, effective documentation, and willingness to learn.

Nice To Haves

Professional compliance certification.

Responsibilities

Administer 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 regulatory or operational risks.
Update compliance manuals, the code of ethics, business continuity materials, 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 regulatory compliance.
Document potential compliance issues and help track remediation efforts.
Lead compliance training activities and provide guidance under supervision.
Maintain records supporting 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.
Oversee vendor relationships and technology platforms supporting the compliance program.
Complete operational assignments that help drive the business forward.
Build working relationships with Risk, Legal, Operations, wealth advisors, portfolio managers, research team members, and administrative staff.
Participate in and lead team meetings and trainings.
Collaborate with team members and internal partners to maintain a strong culture of compliance.