Trust Compliance Officer

JOB SUMMARY
Creative Planning is a top tier wealth management firm that provides investment management
services and full comprehensive financial planning in-house. Creative addresses all aspects of
financial planning from estate planning, tax strategy and risk management to retirement,
education, and charitable planning – using all in-house specialists.
The Trust Compliance Officer plays a critical role in ensuring trust administration activities adhere
to applicable laws, regulations, and internal policies in addition to ensuring compliance with Bank
Secrecy Act (BSA) and Anti-Money Laundering (AML) regulations. This position partners closely
with the Trust team to review trust accounts, monitor regulatory requirements, and support
compliance and risk initiatives across the trust platform. The ideal candidate is detail-oriented,
analytical, and experienced in managing regulatory and fiduciary risk while handling sensitive client
and trust information with discretion and professionalism.

JOB DUTIES:
• Lead, develop, implement and maintain a compliance program that meets regulatory
requirements and industry best practices
• Oversee risk assessments, internal controls, independent testing, policies and procedures,
training and compliance documentation
• Serve as the primary liaison with state and local business licensing authorities, including
the State of Nevada Department of Business and Industry – Financial Institutions Division
• Ensure compliance with Bank Secrecy Act (BSA) and Anti-Money Laundering (AML)
regulations, including the development and implementation of policies and procedures
accordingly
• Oversee monitoring of transactions for suspicious activity, prepare and file reports (e.g.,
Suspicious Activity Reports) as required in compliance with AML regulations
• Manage all regulatory examinations and audits, ensuring timely and efficient responses
• Ensure timely submission of all regulatory reports, including required filings and
disclosures
• Coordinate and participate in the Trust Company’s Board of Directors and Trust Committee
meetings
• Communicate risk exposures to the Board of Directors and the Trust Committee, including
the findings of regulatory examinations and external or internal audits, and document and
implement any necessary remedial actions
• Monitor and develop improvements to meet regulatory changes and industry best
practices
• Oversight of product and service offerings for trust policy compliance and regulatory
governance
• All other duties assigned

REQUIRED EXPERIENCE/QUALIFICATIONS:
• Bachelor’s degree
• Efficient, detail-oriented and accurate
• Expertise in regulatory structures, compliance operations and risk management
• Experience managing regulatory exams and interactions with governing bodies

PREFERRED EXPERIENCE /QUALIFICATIONS:
• MBA or JD
• 10+ years of trust administration experience
• 10+ years of compliance and/or regulatory experience involving trust and/or depository
financial institution experience

TECHNICAL SKILLS
• Proficiency in Microsoft Office