Risk & Compliance Specialist (TN, Cordova)

June 24, 2022

EdgeCo Holdings is comprised of several affiliated companies focused on providing a broad array of sophisticated financial products, technology, and support services in the areas of full-service retirement plan administration, brokerage services, and trust & custody solutions. EdgeCo provides these services through numerous subsidiary entities including American Trust, Mid Atlantic Trust Company, NewEdge Capital Group and PensionPro Software.

The Risk & Compliance Specialist with EdgeCo Holdings is responsible for assisting EdgeCo entities in complying with regulatory requirements and internal policies. The Risk & Compliance Specialist reports to the EdgeCo Risk and Trust Compliance Officer and/or the Chief Compliance Officer.

Responsibilities:

Administers certain tasks (shared), including the Emergency Contact system (e.g., Alert Media), under the Enterprise Resiliency Program (Business Continuity / Disaster Recovery)
Collective Investment Trusts – Investment Only [CIT-IO] program — performs account qualifications, updates to fund disclosure statements, preparation and provision of Schedule D letters (all CITs) to investor plans, preparation and reconciliation of reports needed for annual DFE filings (all CITs), etc.
Administers (shared) EdgeCo’s privacy policies, including federal (GLBA) and state.
Provides administrative support for Internal Audit department, as requested.
Provides (shared) support for fiduciary committees, including account reviews, requests, etc.
Administers (shared) entity-wide vendor management program, including initial and annual assessments.
Serves as resource (shared) for enterprise-wide due diligence requests of standard EdgeCo financial, audit, SOC reports, security program summary, privacy policies, etc.
Monitors and maintains (shared) [Risk & Compliance] organization-wide policies. This encompasses both content maintenance and document file maintenance (SharePoint and shared file servers).
Reviews and edits forms and documents (Word and PDF formats).
Performs (shared) new customer identification and verification procedures (Know Your Customer requirements).
Performs various compliance and risk tasks (both routine and projects), as assigned, e.g., performing annual account reviews such as MATC annual account certification requests, monitoring various Anti-Money Laundering procedures, including FinCEN and OFAC checks, AML training, assisting in maintenance and operation of various compliance programs such as Identity Theft Prevention Program, Information Security Program (e.g., user access reviews), responding to alleged violations of rules, regulations, policies, procedures and standards of conduct, etc.