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Director of Trust/IRA Compliance and Trust Operations

July Business Services

in Remote / SD

Logo for July Business Services

Job 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
    • Lead business operations of the trust company
    • Develop processes and automate trust operations
    • Drive business process automation for key trust processes
  • 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
    • Annual trust audits by state banking commission and third-party auditor
    • Annual RIA surprise custody audit
    • Periodic SEC RIA audit
  • 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
  • Drive out source vendors (CRP) for advisory operations

Skills / Experience / Credentials

  • Bachelor degree or equivalent required
  • 3-5 years experience required in
    • Trust operations and/or compliance experience OR
    • Advisory operation/compliance experience
  • 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

How to Apply

To apply, please email your resume to employment@julyservices.com


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