Compliance Officer – Wealth Management
职位介绍
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.
查看完整职位
工作职责、任职要求、技能与福利 — 免费创建账号即可查看。
或
已有账户？
登录相似职位
其他可能适合您的职位。