What are the responsibilities and job description for the Compliance Officer position at Movement Search & Delivery?
Compliance Officer – Wealth Management (Confidential Search)
I’m currently partnering with a rapidly growing national wealth advisory firm that is looking to add a Compliance Officer to its leadership team.
This role will focus on:
• RIA regulatory compliance
• SEC examinations and regulatory oversight
• Investment Advisers Act compliance
• Partnering with leadership on compliance strategy as the firm continues to grow
The ideal candidate will have experience supporting a Registered Investment Advisor, broker-dealer, or wealth management platform and be comfortable navigating the evolving regulatory landscape.
This is a high-visibility role with direct interaction with leadership and the opportunity to help shape the firm’s compliance framework as the organization scales.
If you have a background in wealth management compliance and might be open to a confidential conversation, feel free to message me.
#wealthmanagement #ria #compliance #financialservices #regulatorycompliance
Salary : $130,000 - $170,000