Senior Compliance Manager
Remote · United States or Ohio, United States
Job Summary
Senior Compliance Manager for a national Wealth Management (RIA) client. Role focuses on managing adherence to financial industry laws, regulations, and best practices; provides compliance advice, monitoring, and oversight across firm initiatives. Remote work with periodic HQ visits in Ohio. Collaborates to define and refine 1-, 3-, and 7-year strategies; mentors fiduciary team members; serves as internal expert for complex fiduciary solutions; develops leadership within the fiduciary team; oversees discretionary decision making and ensures policy compliance; works with the CEO to set strategy and goals for growth of the fiduciary department; ensures fiduciary team delivers on direct access and prompt inquiries.
Required Qualifications
- 8+ years of Compliance experience with an RIA or Wealth Management Company
- Fund and Portfolio experience required
- Strong knowledge of banking and compliance principles
- CRCM (Certified Regulatory Compliance Manager) is highly advantageous
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