Talent.com
serp_jobs.error_messages.no_longer_accepting
Director - Risk and Compliance (WM)

Director - Risk and Compliance (WM)

Midland States Bank CareersRockford, Illinois, US
job_description.job_card.variable_days_ago
serp_jobs.job_preview.job_type
  • serp_jobs.job_card.full_time
job_description.job_card.job_description

Position Title : Director - Risk and Compliance (WM)

Locations : Rockford_IL

Time Type : Full time

Req ID : JR1158-Rockford_IL

At Midland, we’re proud to be a little different. You can see it in our bright orange signs-but there’s more to it than that. With our heartfelt and personalized approach, we’re focused on meeting every customer’s needs with the brightest solutions.

For more than 140 years, we’ve learned by serving customers skillfully with dedication and follow-through, we can brighten every interaction to drive our collective success. And this goes beyond traditional banking.

We foster programs that empower our communities, continuously invest in our employees, and actively pursue brighter futures for all.

Our humble ambition keeps us growing, giving back, and looking ahead. We’re innovating and optimizing our services to ensure we stay unique - providing strength you can count on with heart you can feel.

You might say we’re unlike any other bank.

And you’d be right."

At Midland States Bank, base salary is one component of our Total Rewards program. Exact compensation is determined by factors such as (but not limited to) education, skills, internal equity, and experience. This position offers additional compensation in the form of short-term incentives (i.e. bonus and / or commission) and may include long-term incentives (i.e. stock awards). Benefits for this role include comprehensive healthcare, well-being benefits, paid family leave as well as generous paid time off. Total Rewards also include banking perks, an Employee Stock Purchase Plan, 401K plan with company match and may include the opportunity to participate in our Non-Qualified Deferred Compensation plan. Incentives and benefits are subject to eligibility requirements.

Director – Risk and Compliance WM

Salary Range : $124,300 - $165,700+ annually

Position Summary

The Director – Risk and Compliance WM is responsible for leading all aspects of the risk management and compliance functions within the Wealth Management division. The incumbent is also responsible for planning and executing key strategic projects across the division. This position must help plan, execute, and monitor compliant implementation and ongoing risk oversight for RIA business model. Additional coordination with Trust leaders managing risk protocols within current Trust company. This position reports to the Executive Vice President of Consumer Banking and Wealth Management and works closely with the Bank Chief Compliance Officer.

Primary Accountabilities

People

  • Manages a team of professionals in a customer-centric culture to excel in a fast-paced environment.
  • Coaches, develops, and conducts performance management activities with direct and indirect reports.
  • Identifies high-potential employees for advanced training and development opportunities.
  • Effectively manages poor performers.

Job Specific

  • Collaborate on the design and implementation of process to ensure minimized business risks while accommodating growth of the organization.
  • Oversee business unit’s quality assurance, risk management, and compliance programs.
  • Responsible for surveillance tasks to verify the firm’s compliance with policies, procedures, governing documents, and regulations.
  • Create and maintain reports of risk management / compliance activities, including remediation and exception reporting and KRIs, to senior management.
  • Maintain the WM Trust & Investment Policy manual and RIA Policies including proposal of new policies, edits to existing policies and ongoing recertification of existing policies.
  • Leverage technology and champion change within business unit to improve end customer and employee experience and to improve operational excellence / efficiencies.
  • Provide for continuity and growth of WM Risk Management department by fostering constructive culture and developing team members.
  • Oversee WM business unit prepared regulatory reporting such as RC-T, Statement of Condition, KRI, KPI, etc.
  • Serve as the named Chief Compliance Officer for any WM RIA or broker / dealer entity and serve as business unit liaison with Corporate Compliance and Information Security.
  • Participate in long-range planning as a member of WM leadership team.
  • Other

  • The role requires occasional travel for training and team meetings, and willingness to travel periodically, to locations within market as needed.
  • May require work in a Midland office to ensure collaboration and support of internal and external customers.
  • Maintain compliance with all applicable regulations including, but not limited to, the Bank Secrecy Act (BSA).
  • Other duties as assigned.
  • Position Qualifications

    Education / Experience :

  • Bachelor’s degree required.
  • Minimum of 10 years of prior experience in trust or wealth management.
  • Experience developing, implementing, and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements or providing oversight to a compliance function.
  • Prior experience in Registered Investment Advisor (SEC Investment Advisers Act of 1940) and / or brokerage compliance positions (FINRA) and / or with trust regulatory compliance.
  • Experience assessing the adequacy of policies, procedures, and processes.
  • Knowledge of WM operations and administration processes.
  • Demonstrated success working in team environment.
  • Ability to meet time constraints without constant supervision.
  • Service oriented, friendly and persuasive personality.
  • Professionalism and courtesy in dealing with customers and bank employees.
  • Effective communicator.
  • High degree of accuracy with attention to detail required.
  • Advanced industry training and / or certifications such as CFIRS, or CRCM.
  • Competencies :

  • Business insight
  • Cultivates innovation
  • Drives results
  • Makes sound decisions
  • Being a brand champion
  • Collaborates
  • Communicates effectively
  • Customer focus
  • Being Authentic
  • Emotional Intelligence
  • Self development
  • Being flexible and adaptable
  • If you require reasonable accommodation in completing this application, interviewing, completing any pre-employment testing, or otherwise participating in the employee selection process, please direct your inquiries to Midland States Bank Human Resources at HR@midlandsb.com .

    THIS JOB DESCRIPTION DOES NOT CONSTITUTE A CONTRACT FOR EMPLOYMENT

    At Midland States Bank, we believe that when we can bring our whole selves to work each day, we become happier, more comfortable, more confident and more excited to do great things for our customers, each other and our company. We’re proud to be an Equal Opportunity and Affirmative Action employer. At Midland, we recruit, employ, train, compensate and promote without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status. If you are looking for a place to grow, we encourage you to apply at Midland States Bank, because you belong here.

    If you require reasonable accommodation in completing this application, interviewing, completing any pre-employment testing, or otherwise participating in the employee selection process, please direct your inquiries to Midland States Bank Human Resources at HR@midlandsb.com .

    THIS JOB DESCRIPTION DOES NOT CONSTITUTE A CONTRACT FOR EMPLOYMENT

    PI8a3ea8a2885f-37344-38477698

    serp_jobs.job_alerts.create_a_job

    Risk And Compliance • Rockford, Illinois, US

    Job_description.internal_linking.related_jobs
    • serp_jobs.job_card.promoted
    CDL-A Refrigerated Lease Purchase Driver in Rochelle, IL

    CDL-A Refrigerated Lease Purchase Driver in Rochelle, IL

    AllTruckJobsRochelle, IL, US
    serp_jobs.job_card.full_time
    This fleet's drivers primarily operate in Iowa, Nebraska, Minnesota, Missouri, Wisconsin, Kansas, Indiana, Ohio, Michigan, and Illinois (including Chicago). Potential runs to the East Coast and Flor...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
    • serp_jobs.job_card.promoted
    Inventory Control Manager

    Inventory Control Manager

    Advastar, IncSycamore, IL, US
    serp_jobs.job_card.full_time
    INVENTORY CONTROL MANAGER | SYCAMORE, IL.A global manufacturer is seeking an experienced Inventory Control Manager to lead inventory operations at their 250,000 sq. This role needs an inventory lead...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
    • serp_jobs.job_card.promoted
    Restaurant Manager – Make an Impact Today

    Restaurant Manager – Make an Impact Today

    DunkinEvansville, Wisconsin, US
    serp_jobs.job_card.permanent
    We are currently looking for motivated, inspiring General Managers throughout Wisconsin, Minnesota, and Michigan! Our Dunkin / Baskin-Robbins General Managers are the foundation of our winning teams ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
    • serp_jobs.job_card.promoted
    Restaurant Manager – Exciting Growth Opportunity

    Restaurant Manager – Exciting Growth Opportunity

    DunkinEvansville, Wisconsin, US
    serp_jobs.job_card.permanent
    We are currently looking for motivated, inspiring General Managers throughout Wisconsin, Minnesota, and Michigan!.Our Dunkin / Baskin-Robbins General Managers are the foundation of our winning teams ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
    • serp_jobs.job_card.promoted
    Remote Finance Director - AI Trainer

    Remote Finance Director - AI Trainer

    Data AnnotationBeloit, Wisconsin
    serp_jobs.filters.remote
    serp_jobs.job_card.full_time +1
    We are looking for a finance professional to join our team to train AI models.You will measure the progress of these AI chatbots, evaluate their logic, and solve problems to improve the q...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
    • serp_jobs.job_card.promoted
    Restaurant Manager – Lead & Inspire Teams

    Restaurant Manager – Lead & Inspire Teams

    DunkinEvansville, Wisconsin, US
    serp_jobs.job_card.permanent
    We are currently looking for motivated, inspiring General Managers throughout Wisconsin, Minnesota, and Michigan! Our Dunkin / Baskin-Robbins General Managers are the foundation of our winning teams ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
    • serp_jobs.job_card.promoted
    Restaurant Manager – Apply Today

    Restaurant Manager – Apply Today

    DunkinEvansville, Wisconsin, US
    serp_jobs.job_card.permanent
    We are currently looking for motivated, inspiring General Managers throughout Wisconsin, Minnesota, and Michigan! Our Dunkin / Baskin-Robbins General Managers are the foundation of our winning teams ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
    • serp_jobs.job_card.promoted
    Restaurant Manager

    Restaurant Manager

    DunkinEvansville, Wisconsin, US
    serp_jobs.job_card.permanent
    We are currently looking for motivated, inspiring General Managers throughout Wisconsin, Minnesota, and Michigan! Our Dunkin / Baskin-Robbins General Managers are the foundation of our winning teams ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
    • serp_jobs.job_card.promoted
    Director - Risk and Compliance (WM)

    Director - Risk and Compliance (WM)

    Midland States Bank CareersRockford, IL, United States
    serp_jobs.job_card.full_time
    Submit your CV and any additional required information after you have read this description by clicking on the application button. Director - Risk and Compliance (WM).At Midland, we’re proud to be a...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
    • serp_jobs.job_card.promoted
    CDL A Truck Driver

    CDL A Truck Driver

    Dollar General FleetPecatonica, IL, United States
    serp_jobs.job_card.full_time
    Dollar General is currently hiring Class A CDL Truck Drivers for regional home weekly routes.We take care of our DG family so that you can take care of yours. As a driver for Dollar General's privat...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
    • serp_jobs.job_card.promoted
    Security Professional - Manufacturing Site - Part Time

    Security Professional - Manufacturing Site - Part Time

    Allied UniversalRochelle, IL, United States
    serp_jobs.job_card.full_time +1
    Security Professional - Manufacturing Site - Part Time.Allied Universal, North America's leading security and facility services company, offers rewarding careers that provide you a sense of purpose...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_1_day
    • serp_jobs.job_card.promoted
    District Sales Manager - Spirit

    District Sales Manager - Spirit

    Spirit HalloweenDeKalb, IL, US
    serp_jobs.job_card.temporary
    Weekly rate ranges from $1,050 - $1,075 per week and is dependent upon qualifications and experience.Benefits include : Illinois Paid Leave, Repeat DSM Bonus Program, DSM Seasonal Incentive Program....serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_1_day
    • serp_jobs.job_card.promoted
    Compliance Officer- Fintech Services

    Compliance Officer- Fintech Services

    Midland States Bank CareersRockford, Illinois, US
    serp_jobs.job_card.full_time
    Compliance Officer- Fintech Services.At Midland, we’re proud to be a little different.You can see it in our bright orange signs-but there’s more to it than that. With our heartfelt and personalized ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
    • serp_jobs.job_card.promoted
    Customer Service Director

    Customer Service Director

    Binny's Beverage DepotMarengo, IL
    serp_jobs.job_card.full_time
    The Customer Service Manager reports to and assists the General Manager and Assistant Store Manager, in daily operations, including motivating and inspiring the team to achieve store goals.They are...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
    • serp_jobs.job_card.promoted
    Restaurant Manager – Comprehensive Benefits Package

    Restaurant Manager – Comprehensive Benefits Package

    DunkinEvansville, Wisconsin, US
    serp_jobs.job_card.permanent
    We are currently looking for motivated, inspiring General Managers throughout Wisconsin, Minnesota, and Michigan! Our Dunkin / Baskin-Robbins General Managers are the foundation of our winning teams ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
    • serp_jobs.job_card.promoted
    Restaurant Manager – Offered Competitive Compensation

    Restaurant Manager – Offered Competitive Compensation

    DunkinEvansville, Wisconsin, US
    serp_jobs.job_card.permanent
    We are currently looking for motivated, inspiring General Managers throughout Wisconsin, Minnesota, and Michigan! Our Dunkin / Baskin-Robbins General Managers are the foundation of our winning teams ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
    • serp_jobs.job_card.promoted
    Restaurant Manager – Paid Training + Full Benefits

    Restaurant Manager – Paid Training + Full Benefits

    DunkinEvansville, Wisconsin, US
    serp_jobs.job_card.permanent
    We are currently looking for motivated, inspiring General Managers throughout Wisconsin, Minnesota, and Michigan! Our Dunkin / Baskin-Robbins General Managers are the foundation of our winning teams ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
    • serp_jobs.job_card.promoted
    Travel Occupational Therapist (OT) - $2,641 per week in Dixon, IL

    Travel Occupational Therapist (OT) - $2,641 per week in Dixon, IL

    AlliedTravelCareersDixon, IL, US
    serp_jobs.job_card.full_time
    AlliedTravelCareers is working with Medical Solutions to find a qualified Occupational Therapist (OT) in Dixon, Illinois, 61021!. A facility in Dixon, IL is seeking its next amazing OT (Occupational...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
    • serp_jobs.job_card.promoted
    Security Professional - Processing Facility - Multiple Shifts

    Security Professional - Processing Facility - Multiple Shifts

    Allied UniversalDarien, WI, United States
    serp_jobs.job_card.full_time
    Security Professional - Processing Facility - Multiple Shifts.Wednesday, Thursday, Saturday, Sunday.Allied Universal, North America's leading security and facility services company, offers rewardin...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
    • serp_jobs.job_card.promoted
    Restaurant Manager – Offer Merit-Based Bonus Programs

    Restaurant Manager – Offer Merit-Based Bonus Programs

    DunkinEvansville, Wisconsin, US
    serp_jobs.job_card.permanent
    We are currently looking for motivated, inspiring General Managers throughout Wisconsin, Minnesota, and Michigan! Our Dunkin / Baskin-Robbins General Managers are the foundation of our winning teams ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days