Wealth Management Regulatory Compliance Officer

Full Time

Madison-Davis Client


Your responsibilities will involve all aspects of compliance support, including advising and providing guidance to multiple lines of business in a sophisticated full-service broker/dealer and private banking business, with a primary focus on providing compliance coverage to Capital Markets Sales and Trading, Funds & Solutions; LatAm; and the Investment Sales groups. You should have extensive knowledge of banking and securities laws and a firm understanding of cross-border regulation.

Your Key Responsibilities:

  • Advising business professionals on regulatory and compliance requirements; Drafting, updating, and ensuring effective implementation of policies and procedures
  • Evaluating new products and business opportunities; conducting an annual risk assessment of the Business controls against applicable regulations
  • Preparing and conducting compliance training presentations for business personnel, including the annual compliance presentation and specialized training on new regulations, products or policies; planning and executing significant projects to establish or enhance compliance and supervisory controls
  • Researching and responding to regulatory inquiries and examinations; working on a variety of special projects and global initiatives
  • Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment
  • Assist with compliance projects and ad-hoc requests to further strengthen the Banks compliance programs

Your Skills and Experience:

  • You must have in-depth knowledge of SEC, CFTC, NFA and FINRA broker-dealer regulations, and the regulatory environment, particularly with respect to complex capital markets products, private markets, and non-conventional or alternative investments
  • Helpful experience or knowledge would include work at a regulatory agency or self-regulatory organization or work in a regulatory, legal, compliance or business capacity on capital markets, private markets, and/or alternative and non-conventional investments
  • A background in financial services or securities regulation is required; Series 7 license is preferred
  • You will have: excellent written and verbal communication skills; a strong work ethic and a passion for high performance, self-motivation, high energy, excellent interpersonal skills, proficiency with PC applications, the highest standards of integrity and ethical judgment, and a minimum relevant experience preferably at a major national or global securities firm, regulatory organization, or law firm
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