Are you an experienced compliance professional with a passion for ensuring regulatory excellence in the wealth management sector? Join our esteemed client, a top firm located in the vibrant city of Denver, CO, as the Wealth Management Compliance Director. We are searching for a strategic leader to oversee and enhance compliance programs, ensuring our client’s commitment to integrity and regulatory adherence.
About Our Client:
Our client is a leader in the wealth management industry, renowned for providing exceptional financial solutions and advisory services. With a deep commitment to ethical practices and regulatory compliance, they are shaping the future of wealth management. As they continue to grow, they seek a visionary Compliance Director to join their team and uphold the highest standards of compliance across all operations.
Responsibilities of Wealth Management Compliance Director:
As the Wealth Management Compliance Director, you will be responsible for:
- Compliance Strategy: Developing and implementing comprehensive compliance strategies that align with regulatory requirements and business objectives.
- Regulatory Oversight: Ensuring the firm’s operations comply with SEC, FINRA, and other relevant regulatory bodies, maintaining a robust compliance framework.
- Risk Management: Identifying, assessing, and mitigating compliance risks, while proactively advising on best practices.
- Training and Education: Leading the development of compliance training programs for staff, fostering a culture of regulatory awareness and adherence.
- Audit Management: Overseeing internal and external audits, ensuring prompt and accurate responses to regulatory inquiries and examinations.
- Policy Development: Crafting and updating compliance policies and procedures to reflect current regulations and industry standards.
Qualifications:
To excel in the role of Wealth Management Compliance Director, you should possess:
- Extensive Experience: Proven experience in a senior compliance role within the wealth management or financial services industry.
- Regulatory Expertise: Deep understanding of SEC, FINRA, and other financial regulations, with a strong commitment to ethical standards.
- Leadership Skills: Excellent leadership and communication skills, with the ability to guide and influence cross-functional teams.
- Analytical Abilities: Strong analytical and problem-solving skills, with a focus on risk management and regulatory compliance.
- Educational Background: A bachelor’s degree in finance, law, or a related field is required; advanced degrees or certifications such as a JD or CPA are highly desirable.
How to Apply:
If you are a dedicated compliance professional ready to lead and ensure regulatory excellence as the Wealth Management Compliance Director, we encourage you to submit your resume and a compelling cover letter outlining your qualifications and vision for the role.
Ready to take the next step in your career in wealth management? Connect with our Expert Wealth Management Recruiters and explore top opportunities in the industry. Visit our page and apply today to join a firm committed to integrity and success.
