Are you a compliance expert with a strong background in wealth management? Join our client, a leading Financial Institution in the vibrant city of Orlando, FL, as the Wealth Management Compliance Lead. We are seeking a detail-oriented leader to ensure regulatory adherence and uphold the highest standards of compliance across all wealth management operations.
About Our Client:
Our client is a prestigious Financial Institution recognized for its commitment to excellence in wealth management and financial services. With a dedication to ethical practices and regulatory compliance, they are a trusted name in the industry. As they continue to grow and evolve, they are looking for a seasoned compliance professional to join their team and lead the charge in maintaining robust compliance frameworks.
Responsibilities of Wealth Management Compliance Lead:
As the Wealth Management Compliance Lead, you will play a critical role in:
- Compliance Strategy: Developing and implementing comprehensive compliance strategies that align with regulatory requirements and business objectives.
- Regulatory Adherence: Ensuring all wealth management activities comply with federal, state, and industry regulations, including SEC, FINRA, and other relevant bodies.
- Risk Management: Identifying potential compliance risks and implementing measures to mitigate them effectively.
- Policy Development: Leading the creation and maintenance of compliance policies and procedures, ensuring they are up-to-date and adhered to across the organization.
- Training and Education: Conducting compliance training for wealth management teams, fostering a culture of compliance awareness and best practices.
- Audit and Reporting: Overseeing internal audits and regulatory reporting, ensuring accuracy and timeliness in all compliance-related documentation.
Qualifications:
To excel in the role of Wealth Management Compliance Lead, you should possess:
- Extensive Experience: Proven experience in compliance leadership roles within the wealth management or financial services industry.
- Regulatory Knowledge: Deep understanding of wealth management regulations, including SEC and FINRA requirements.
- Analytical Skills: Strong analytical and problem-solving abilities, with a keen eye for identifying and addressing compliance issues.
- Leadership Skills: Excellent leadership and communication skills, with the ability to guide and mentor teams in compliance practices.
- Educational Background: A bachelor’s degree in Finance, Law, or a related field is required; advanced certifications such as CRCM or CAMS are highly desirable.
How to Apply:
If you are a compliance professional ready to lead and make a significant impact in the wealth management sector, we encourage you to submit your resume and a compelling cover letter outlining your qualifications and vision for the role.
Ready to advance your career in financial compliance? Connect with our Expert Financial Services Recruitment team to explore this and other opportunities. Visit our page and take the next step today!
