ProspectBlue is leading the search for a Fiduciary Compliance Specialist to join a forward-thinking, nationally chartered financial institution as it builds and expands its Trust Division.
This is a unique opportunity to play a foundational role in shaping the fiduciary compliance framework for a growing platform offering personal, corporate, and institutional trust services—including innovative solutions tied to M&A, escrow, 1031 exchanges, and digital asset custody.
The Opportunity
This role sits at the intersection of compliance, risk, and fiduciary governance, working closely with executive leadership to design, implement, and maintain a best-in-class compliance program.
You’ll have the chance to build key processes from the ground up, influence enterprise risk strategy, and gain exposure to board-level reporting and decision-making.
Key Responsibilities
Fiduciary Governance & Compliance
- Develop and maintain fiduciary compliance frameworks aligned with OCC regulations, ERISA, and other applicable laws
- Build and manage the department’s Risk Assessment (RA), including ongoing updates and enhancements
- Design and execute monitoring and testing programs to identify and mitigate compliance risks
- Partner with leadership to establish policies, procedures, and internal controls
Monitoring & Risk Management
- Conduct ongoing reviews of fiduciary accounts, transactions, and activities
- Identify, escalate, and help remediate compliance issues
- Analyze trends and provide actionable insights to strengthen controls
Policy & Regulatory Alignment
- Interpret new and evolving regulations and assess business impact
- Update internal policies and ensure alignment with regulatory expectations and industry best practices
Audit & Reporting
- Support internal and external audits and regulatory examinations
- Prepare clear, concise reporting for senior leadership, committees, and the board
- Track and validate remediation efforts
Training & Cross-Functional Partnership
- Serve as a subject matter expert on fiduciary compliance
- Provide training and guidance to internal stakeholders across operations, legal, and risk teams
Qualifications
- Bachelor’s degree in Finance, Business, Law, or related field
- 3–7+ years of experience in fiduciary compliance, trust administration, investment compliance, or risk management
- Experience in a regulated financial services environment strongly preferred
Preferred Certifications (not required):
- CTFA, CRC, CRSP, QKA/QPA, CAMS, or similar
What Sets This Role Apart
- Opportunity to build and shape a compliance function within a growing trust platform
- High visibility with executive leadership and board-level exposure
- Exposure to complex and emerging fiduciary products, including digital assets
- Collaborative, entrepreneurial environment with strong growth potential
