Specialist, Compliance
Core
Senior compliance professional providing risk oversight, policy governance, and strategic execution for Wealth Management Investment Compliance.
Role type
Senior IC compliance specialist (wealth management)
Builds
Compliance risk assessments, written procedures, and performance management processes for investment services.
Domain
Financial services / Wealth Management / Investment Compliance
Required skills
Regulatory knowledge (financial services), investment terminology, conflict of interest management, performance management, policy development, risk assessment, stakeholder advisory
Preferred skills
Experience in compliance or risk management, knowledge of trust investments and taxation
Technologies
N/A
Responsibilities
Conduct performance management and establish standards for the team; oversee code of ethics and manage conflicts of interest; advise business partners on laws and regulations; implement the Corporate Compliance Program; identify and escalate compliance risks; develop written procedures to comply with regulations; oversee completion of compliance risk assessments.
Seniority
Senior, hands-on IC