Director of Trust/RIA Compliance and Trust Operations

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General Description

As JULY Trust’s director of compliance and operations, you will enjoy the unique opportunity and challenge of being an integral part of leading our Trust business channel. The person in this role will direct the implementation of business processes and compliance infrastructure for the trust company. Also, the Director will be tasked with managing the compliance functions for our in-house RIA, Expand Financial. This position reports to Group CEO Trust and Advisory.

About JULY and Expand Financial

July Business Services is a growing, innovative retirement plan services firm that partners with institutions and financial advisors to design and implement successful retirement plan strategies, headquartered in Waco, Texas. In addition to our home office location, we support a thriving virtual workforce with a strong company culture where employees can grow and develop their professional talents. We have an entrepreneurial and employee-friendly culture and emphasize core values of wow! service, having a servant’s heart, and innovation. JULY provides high quality retirement plan services to over 6,100 small and mid-sized employers, representing more than 120,000 plan participants.

Expand Financial is a division of JULY. Expand is a registered investment advisor (RIA) and provides fiduciary advisory services to retirement plans and individuals. Expand services 1,400 accounts and over $1B in assets. We offer competitive salaries and benefits and a family-friendly culture.

Job Duties

Participate in the trust company South Dakota chartering process
Develop compliance infrastructure for trust company
Establish and manage processes for working with sub-custody partners
Create a plan to aggressively convert plans to JULY Trust starting immediately upon receiving the trust charter. This includes the creation of a schedule, strategy, and plan.
Participate in applicable JULY cross-functional teams
Oversee/administer the established RIA compliance program
Work with regulators to successfully complete audits on both trust and advisory operations
Identify business process automation opportunities and drive automation for both trust and advisory. This includes performing business analysis and overseeing software development.
Drive out source vendors (Bridgeford and Davenport) for trust operations

Skills / Experience / Credentials

Bachelor degree or equivalent required
3-5 years experience required in
South Dakota resident a plus
FINRA Series 24 a plus
Experience in working with regulators and audits
Business process analysis and software automation experience
Ability to identify and manage priorities
Highly organized and self-directed
Strong interpersonal Skills
Experience in retirement plan administration and recordkeeping is a plus

Benefits

401(k) Plan with fully vested 5% employer match
Company pays 100% of employee health insurance
Three weeks of paid time off

To Apply

Email your resume to [email protected], Attn: Human Resources.