Head of Compliance

A leading financial institution is seeking a senior compliance executive to lead compliance oversight for its Wealth Management platform, including investment advisory, broker-dealer, private banking, trust, and fiduciary businesses. This role will be responsible for developing and executing the compliance strategy, strengthening risk management frameworks, and ensuring adherence to applicable banking, securities, and fiduciary regulations.

The successful candidate will serve as a trusted advisor to executive leadership while providing independent oversight and challenge to business activities. This individual will play a critical role in fostering a culture of integrity, regulatory compliance, and sound risk management across a complex and highly regulated environment

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Key Responsibiliti

esWealth Management Compliance Leadersh

• ipLead the compliance program supporting wealth management, private banking, investment advisory, broker-dealer, trust, and fiduciary businesse
• s.Develop and enhance compliance frameworks, policies, procedures, and governance structure
• s.Promote a strong culture of ethics, accountability, and regulatory compliance across the organizatio
• n.Serve as a senior advisor to business leadership on compliance, regulatory, and conduct risk matter

s.Regulatory Oversight & Adviso

• ryProvide strategic guidance regarding securities, investment advisory, fiduciary, and banking regulation
• s.Deliver independent challenge and oversight of business activities to ensure compliance risks are effectively identified and manage
• d.Support new products, services, business initiatives, and strategic growth opportunities through regulatory risk assessments and advisory review
• s.Monitor regulatory developments and assess their impact on business operations and compliance program

s.Risk Management & Governan

• ceOversee compliance risk assessments, monitoring activities, surveillance programs, and testing initiative
• s.Evaluate the effectiveness of internal controls and recommend enhancements where necessar
• y.Prioritize compliance resources and oversight activities based on risk exposure and regulatory expectation
• s.Review and challenge remediation plans addressing identified compliance issues and regulatory finding

s.Investment Advisory & Broker-Dealer Complian

• ceOversee regulatory compliance activities related to investment advisory and brokerage operation
• s.Maintain governance over regulatory filings, disclosures, registrations, and licensing requirement
• s.Ensure compliance programs align with regulatory expectations applicable to advisory, brokerage, and fiduciary businesse
• s.Partner with specialized compliance functions supporting surveillance, conflicts management, licensing, and conduct risk oversigh

t.Regulatory Engagement & Reporti

• ngLead regulatory examinations, audits, inquiries, and supervisory interaction
• s.Provide compliance reporting and risk updates to executive leadership, governance committees, and boards of director
• s.Coordinate responses to regulatory findings and oversee corrective action implementatio
• n.Build strong working relationships with regulators, auditors, and key external stakeholder

s.Leadership & Talent Developme

• ntLead, mentor, and develop a team of compliance professional
• s.Foster a collaborative, high-performance environment focused on accountability and continuous improvemen
• t.Establish compliance training and awareness programs tailored to business-specific risks and obligation
• s.Partner across business and control functions to strengthen enterprise compliance capabilitie

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Qualificati

onsRequi

• redBachelor's degree requir
• ed.10 years of wealth management, investment advisory, broker-dealer, trust, fiduciary, or related compliance experience within financial servic
• es.5 years of leadership experience managing compliance teams and progra
• ms.Deep knowledge of investment advisory, brokerage, fiduciary, and banking regulatory framewor
• ks.Experience leading regulatory examinations, audits, remediation efforts, and regulatory interactio
• ns.Strong executive presence with the ability to influence senior stakeholders and governance bodi
• es.Excellent written, verbal, analytical, and leadership skil