Compliance Specialist » STRATA Trust Company Compliance Specialist » STRATA Trust Company

Compliance Specialist

Position Summary

STRATA Trust Company is a fast-growing self-directed IRA custodian which serves individuals and institutional clients nationwide that invest in alternative assets using their retirement funds. Self-directed IRAs allow individuals to save for retirement by providing a wider array of investment options than banks and brokerage firms.  Investments include alternative investments such as real estate, trust deeds, precious metals, private equity, and debt offerings, as well as crowdfunding and other investment portals, and more.  As a subsidiary of Horizon Bank based in Austin, Texas, the company is regulated by federal and state banking authorities.

We have an immediate opening for a Compliance Specialist in our Waco office.  In this role, you will assist in the maintenance of an independent Compliance and Risk Management Program that ensures each functional area of STRATA operates in compliance with all applicable laws, regulations, and internal policies. Duties may include, but are not limited to, performing internal audits of STRATA’s processes, assisting with Bank Secrecy Act responsibilities, supporting the onboarding of new assets, learning our business and playing a critical role in the company’s overall risk management program.  Meanwhile, you will have the full support of a highly experienced team that will provide you with training, direction, and other support.

Our trajectory of growth is exciting, and we are ready to take it to the next level with high-energy individuals who love to work in a fast-paced environment and be valuable contributors to our future growth and success. That is just part of the reason that STRATA Trust Company is such a great place to work!

What success looks like as a Compliance Specialist

•  Internal audits are correct and complete, on time
•  Company performance improves as a result of your audit-based feedback
•  Assets are set up in our system correctly and quickly as part of onboarding new investments
•  Teammates can rely on you to get things done, support them, and live STRATA’s Bedrock Values


•  Perform all account and asset risk audits
•  Perform internal audits relative to internal risk management reports
•  Review OFAC and FinCEN 314(a) watchlist search results
•  Assist with administrative reviews as part of the new asset onboarding process
•  Assist the Compliance Officer with gathering documents responsive to administrative subpoenas
•  Have excellent verbal and written communication skills as tasks may include generating and mailing client correspondence
•  Maintain a positive work environment while making sure that the policies and procedures are being followed
•  Assist the Compliance Officer with other duties as assigned


Specific requirements include:

•  Associates Degree, or 2-5 years equivalent work experience in financial services or similar industry, with demonstrated reliability, skills, aptitude, and abilities to perform the duties of this position.

 Desired Skills/Experience:

•  Aptitude for accuracy and attention to detail
•  Proven problem-solving skills
•  Knowledge of investments or experience with investment processing, particularly if it includes real estate or other alternative asset transactions.
•  Prior bank or financial service operations experience preferred
•  Exceptional organizational skills required
•  Ability to prioritize and work well under deadlines
•  Strong communication and listening skills
•  Must be proficient in Microsoft Office– Outlook, Word, and Excel

All full-time employees are eligible to participate in our healthcare plans including medical, dental & vision; life/AD&D insurance, our robust 401k plan, and paid time off.


If you think that you could be the perfect fit, please apply now. Submit your resume with salary history and contact information for consideration. Good luck, and we look forward to hearing from you!

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STRATA Trust Company is an Affirmative Action / Equal Opportunity Employer of protected veterans, women, minorities, and individuals with disabilities.