Compliance Associate I / Compliance Associate II

Wintrust Wealth Management serves the financial needs of private clients including high net worth individuals business owners and institutions. Since our founding in 1931 we have been helping clients meet their increasingly complex financial goals with the highest standards of service and integrity. Through our four companies Wintrust Investments LLC Wintrust Private Trust. Great Lakes Advisors LLC and The Chicago Deferred Exchange Company LLC we offer comprehensive wealth management solutions including investment trust and asset management services. Wintrust Wealth Management is a division of Wintrust a financial services company with more than $66 billion in assets.

Wintrust Wealth Management serves the financial needs of private clients including high net worth individuals business owners and institutions. Since our founding in 1931 we have been helping clients meet their increasingly complex financial goals with the highest standards of service and integrity. Through our four companies Wintrust Investments LLC Wintrust Private Trust. Great Lakes Advisors LLC and The Chicago Deferred Exchange Company LLC we offer comprehensive wealth management solutions including investment trust and asset management services. Wintrust Wealth Management is a division of Wintrust a financial services company with more than $62 billion in assets.

Why join us

• An award-winning culture! We are rated a Top Workplace by the Chicago Tribune (past 9 years) and Employee Recommended award by the Globe & Mail (past 6 years)

• Competitive pay and annual discretionary bonus eligible

• Comprehensive benefit package including medical dental vision life a 401k plan with a generous company match and tuition reimbursement to name a few

• Family-friendly work hours

• With 175 community bank locations we offer opportunities to grow and develop in your career

• Promote from within culture

Position Overview:

As a self-motivated team player the Compliance Associate is responsible for supporting one or more Compliance Officers by performing a wide variety of duties to ensure the trust company follows all regulations governing fiduciary activities and help mitigate risk in the business.

What youll do:

• Adheres to all internal and external regulatory requirements standards guidelines policies and procedures and has the ability to maintain confidentiality.

• Complete daily and weekly tasks including assembling regular management information systems reports.

• Provide support with document gathering during internal audits and regulator examinations.

• Review regular BSA AML OFAC related reports and work with Compliance officer when necessary.

• Working with Compliance Officers conduct testing of regulations governing fiduciary activities and company procedures.

• Contribute to completion of various compliance related risk assessments for the business.

• Account monitoring and notifies the Trust Officer when overdrafts or large balances are discovered.

• Creates and organizes PowerPoint slide presentations and Excel spreadsheets when necessary.

• Performs other duties as assigned by the Compliance Team Lead from time to time.

Qualifications:

• Bachelors degree preferred

• 1 to 3 years in a supporting role in financial institution or regulator is preferred.

• Excellent Microsoft Office suite skills particularly Excel

• Ability to clearly articulate issues problems solutions concerns and other information in verbal and written communications

• Maintains strict confidentiality and adheres to the highest ethical standards

• Ability to multitask follow instructions and have a keen attention to detail and accuracy

• Team player

• Exceptional communication skills (written and verbal) with internal partners and stake holders.

Benefits:

Medical Insurance Dental Vision Life insurance Accidental death and dismemberment Short-term and long term Disability Insurance Parental Leave Employee Assistance Program (EAP) Traditional and Roth 401(k) with company match Flexible Spending Account (FSA) Employee Stock Purchase Plan at 5% discount Critical Illness Insurance Accident Insurance Transportation and Commuting Benefits Banking Benefits Pet Insurance

Compensation:

The estimated salary range for this role is $42000 - $55000along with eligibility to earn an annual bonus. Actual salaries may vary based on several factors such as a candidates qualifications skills and experience.

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From our first day in business Wintrust has been proud to serve a variety of unique communities and people from all walks of life. To build a company that reflects the communities we serve we believe that fostering a unique and inclusive workplace where everyone feels valued and empowered to succeed will support our ongoing success. Wintrust Financial Corporation including community banking and financial services subsidiaries is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race color religion sex age national origin disability veteran status genetic information and other legally protected categories.