Senior Compliance Advisor Wealth/Trust

Senior Compliance Advisory Services Officer

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.

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

The salary range for this position is $90,000 - $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 include 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. Additionally, the role involves 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, and reporting and escalating concerns to Compliance and line of business management.

Proactively work with business personnel and stakeholders to mitigate compliance risk by serving as the regulatory compliance subject-matter-expert to the line of business for researching and advising on general compliance questions, supporting the development of strategic projects and initiatives, assessing the impact of, and helping define action plans for, implementing regulatory changes, new supervisory guidance, and industry enforcement action trends, reviewing proposed changes to compliance related policies and procedures, and assisting the line of business in determining actions to address compliance findings.

Maintain current knowledge of applicable laws, regulations, and industry trends. Evaluate changes in industry practice and legal/regulatory requirements and ensure that timely appropriate action is taken. Assist, as needed, in preparations for compliance regulatory exams and internal audits related to assigned areas. This includes gathering and reviewing of all requested information and/or assisting in responding to questions. Provide ongoing reports to the Compliance Advisory Services Manager, the assigned line of business management team and any governance committees on relevant compliance risk topics.

Key competencies for the position include culture leadership through effective communication and collaboration, execution leadership through drive and execution, problem solving/decision making, technical knowledge, and a strong work ethic with attention to detail and strong time management skills.

Old National is proud to be an equal opportunity employer focused on fostering an inclusive workplace and committed to hiring a workforce comprised of diverse backgrounds, cultures and thinking styles. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, protected veteran status, status as a qualified individual with disability, sexual orientation, gender identity or any other characteristic protected by law.

We do not accept resumes from external staffing agencies or independent recruiters for any of our openings unless we have an agreement signed by the Director of Talent Acquisition, SVP, to fill a specific position.

Our culture is firmly rooted in our core values. We are optimistic. We are collaborative. We are inclusive. We are agile. We are ethical. We are Old National Bank. Join our team!