Compliance Officer – Wealth Management
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The role
Lead RIA regulatory compliance and oversee regulatory oversight including SEC examinations.
Ensure compliance with the Investment Advisers Act across the firm.
Partner with executive leadership to shape and implement the compliance strategy as the business scales.
Support compliance for Registered Investment Advisors, broker-dealers, and wealth management platforms.
This high-visibility role involves direct interaction with leadership to maintain a strong control environment.
The ideal candidate thrives in evolving regulatory landscapes and contributes to governance, risk management, and training programs.
Ensure compliance with the Investment Advisers Act across the firm.
Partner with executive leadership to shape and implement the compliance strategy as the business scales.
Support compliance for Registered Investment Advisors, broker-dealers, and wealth management platforms.
This high-visibility role involves direct interaction with leadership to maintain a strong control environment.
The ideal candidate thrives in evolving regulatory landscapes and contributes to governance, risk management, and training programs.
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