Wealth Compliance Officer, Sr

Old National Bank•Evansville, IN

2d•$61,200 - $123,700

About The Position

Old National Bank is hiring a Wealth Compliance Officer, Sr. The role serves as the Registered Investment Adviser (RIA) Chief Compliance Officer and administers the firm’s compliance program for investment advisory activities. It promotes compliance with applicable federal and state regulations, internal policies, and fiduciary standards, while providing guidance to senior management and employees. The position works closely with Operations, Risk, and Legal to maintain records, coordinate regulatory filings, develop training, complete operational assignments, and prepare for regulatory examinations and inquiries. The salary range is $61,200.00 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.
Series 65 license, or willingness to earn it within three months of employment.
Substantial compliance, legal, risk, audit, or regulatory experience within a Registered Investment Adviser (RIA).
Strong working knowledge of the Investment Advisers Act of 1940.
Demonstrated ability to interpret regulatory requirements, assess risk, design and test controls, submit regulatory filings, and document policies and procedures.
High integrity, sound judgment, discretion, and professional independence.
Excellent verbal and presentation skills.
Ability to build collaborative working relationships with team members and internal partners.
Strong attention to detail and commitment to quality and accuracy.

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, code of ethics, business continuity materials, and related supervisory procedures.
Coordinate regulatory filings, including Form ADV and related disclosure updates.
Perform compliance testing and monitoring involving employee trading, books and records, billing, and conflicts of interest.
Review advertisements, websites, social media, performance presentations, endorsements, and other marketing communications for compliance.
Document potential compliance issues and assist with tracking 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 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 that support 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.