Compliance Director (Trust Company and Custody Operations)

Join our team as a Compliance Director for Trust Company and Custody Operations. In this strategic role, you will lead and manage regulatory compliance and operational oversight across our trust company, custodial, and trading operations. You will ensure compliance with all applicable regulations related to 401(k) plans, ERISA, and trust and custody services. You will also oversee and enhance controls related to trust and custody operations, provide regular reporting to internal stakeholders, and manage a team of regulatory operations professionals.

• Lead and manage regulatory compliance and operational oversight across trust company, custodial, and trading operations.
• Create and implement procedures and internal controls for all trading activities within custodial operations, proactively monitoring compliance.
• Oversee and enhance controls related to trust and custody operations, ensuring alignment with fiduciary standards and regulatory expectations.

• The ideal candidate will bring a deep understanding of regulatory requirements, operational excellence, and a proven track record in managing regulatory operations within financial services or trust company and retirement plan administration
• Minimum of 10+ years of experience with a proven track record in regulatory compliance or operations in the retirement, trust, or custodial services industry
• Bachelor’s degree in Business, Finance, or a related field required; advanced degree or professional certification (e.g., JD, CPA, CRSP, QKA, CISP) preferred
• Experience working with recordkeeping platforms, trust accounting systems, or custodial platforms is a plus
• Deep knowledge of ERISA, 401(k) regulations, trust company laws, custody services, and applicable IRS/DOL regulations
• Strong leadership and team management skills with the ability to influence and collaborate across functions
• Experience managing operational risk, compliance audits, and regulatory examinations
• Exceptional organizational, analytical, and communication skills
• Start up experience