Senior Compliance Advisor - Advice & Wealth Management
HybridCharlotte, North Carolina, United States or Malvern, Pennsylvania, United States
Job Summary
Design and enhance compliance programs for investment services, developing processes for regulatory advice reporting and refining policies. Serve as a trusted advisor to senior leaders, translating regulations into actionable guidance for advisory teams and marketing. Monitor and mitigate risk by collaborating with Risk, Legal, and Audit to identify gaps and implement corrective action plans. Support regulatory exams and inquiries by preparing documentation and assisting leadership in regulator discussions. Lead training initiatives to embed a culture of compliance across the organization. This role requires a minimum of five years' experience in financial services compliance, with Series 65 preferred. No visa sponsorship is offered.
Required Qualifications
- Minimum of five years' related work experience
- At least two years within a financial services compliance function
- Strong interest in, and ability to practically apply, relevant federal securities laws and associated rules
- Well-organized with attention to detail
- Strong communication skills
- Undergraduate degree or equivalent combination of training and experience
Desired Qualifications
- Series 65
- Knowledge of the Investment Advisers Act
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