Wealth Planning Compliance Officer at Leading Firm, New York, NY

Wealth Planning Compliance Officer at Leading Firm, New York, NY

Are you a meticulous compliance professional with a deep understanding of wealth management regulations? Join our prestigious client, a leading financial services firm based in the heart of New York, NY, as a Wealth Planning Compliance Officer. We are seeking an expert to ensure our wealth planning services adhere to the highest standards of regulatory compliance.

About Our Client:

Our client is a top-tier firm in the financial services industry, recognized for its dedication to excellence and integrity in wealth management. With a commitment to upholding the highest ethical standards, they provide tailored financial solutions that meet the unique needs of their clients. As they continue to expand, they are looking for a detail-oriented compliance leader to ensure their wealth planning services remain compliant and secure.

Responsibilities of Wealth Planning Compliance Officer:

As the Wealth Planning Compliance Officer, you will play a critical role in:

  • Regulatory Compliance: Ensuring all wealth planning activities comply with federal, state, and local regulations, as well as industry standards.
  • Policy Development: Developing and implementing compliance policies and procedures that safeguard the firm’s operations and client interests.
  • Risk Management: Identifying potential compliance risks and implementing proactive measures to mitigate them.
  • Monitoring and Auditing: Conducting regular audits and compliance reviews to ensure adherence to internal policies and external regulations.
  • Training and Education: Leading compliance training initiatives to ensure all employees are well-versed in relevant laws and ethical practices.
  • Reporting: Preparing and presenting compliance reports to senior management, highlighting key findings and recommending corrective actions.

Qualifications:

To excel in the role of Wealth Planning Compliance Officer, you should possess:

  • Extensive Experience: Proven experience in a compliance role within wealth management or financial services.
  • Regulatory Expertise: In-depth knowledge of regulatory requirements related to wealth planning, including SEC and FINRA regulations.
  • Strong Leadership: Excellent leadership and communication skills, with the ability to guide teams in maintaining compliance standards.
  • Analytical Skills: Strong analytical and problem-solving abilities, with a keen eye for detail and a proactive approach to risk management.
  • Educational Background: A bachelor’s degree in Finance, Law, or a related field is required; relevant certifications such as CRCM or CAMS are highly desirable.

How to Apply:

If you are a dedicated compliance professional ready to take on a key role in wealth planning, we encourage you to submit your resume and a compelling cover letter outlining your qualifications and vision for the role.

Ready to elevate your career in wealth management compliance? Connect with our Expert Financial Services Recruiters and explore this opportunity along with other top roles in the industry. Visit our page and apply today!

Job Category: Wealth Planning Compliance Officer
Job Type: Full Time
Job Location: New York

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