Senior Compliance Advisor - Advice & Wealth Management
Core
Design and enhance compliance programs for investment services, provide regulatory guidance to business leaders, and monitor risk to ensure ethical investing standards.
Role type
Senior Compliance Advisor (Financial Services)
Builds
Compliance policies, procedures, and regulatory reporting frameworks for investment advisory services.
Domain
Financial Services / Investment Management / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Securities law interpretation, compliance program design, risk assessment, regulatory engagement, corrective action planning, stakeholder management
Preferred skills
Series 65 license, Investment Advisers Act knowledge, training development
Technologies
N/A
Responsibilities
Develop and refine compliance processes for investment services; Provide proactive guidance to senior leaders on regulated activities; Collaborate with Risk and Legal teams to resolve compliance gaps; Support regulatory exams and inquiries; Lead training initiatives to embed compliance culture.
Seniority
Senior, hands-on IC