Global Head of Wealth Management Compliance
Core
Leading, developing, and executing the compliance strategy for the firm's global wealth management business to ensure regulatory obligations are met across jurisdictions.
Role type
Senior leadership compliance head (wealth management)
Builds
Global Wealth compliance program, regulatory frameworks, and conduct risk management systems
Domain
Financial services / Wealth management / Regulatory compliance
Required skills
Wealth and investment management regulation expertise, risk management acumen, regulatory change management, financial crimes compliance (AML, sanctions), conduct risk management, stakeholder influence, team leadership, succession planning
Preferred skills
JD, MBA, CAMS, deep knowledge of global regulatory frameworks (SEC, FRB, FCA, PRA, MAS), understanding of investment products (funds, structured products, alternatives, ESG)
Technologies
None stated
Responsibilities
Partner with CCEO to develop and execute compliance strategy, provide forward-looking compliance guidance on business initiatives and regulatory changes, lead and enhance the end-to-end Global Wealth compliance program, oversee policies, controls, monitoring, and quality assurance, integrate compliance activities with Enterprise Risk Management, serve as primary contact for regulators, advise business leaders on compliance risks, oversee regulatory change management, lead and develop a globally distributed team of Compliance Officers
Seniority
Senior, executive-level leadership