Fiduciary Compliance Specialist
ProspectBlue, Richmond, VA, United States
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
Conduct ongoing reviews of fiduciary accounts, transactions, and activities
Identify, elevate, 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
#J-18808-Ljbffr
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
Conduct ongoing reviews of fiduciary accounts, transactions, and activities
Identify, elevate, 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
#J-18808-Ljbffr