VP, International WM Compliance Officer
Core
Provide expert jurisdictional guidance on securities laws and regulatory expectations across key non-U.S. markets (European and Latin American) to support cross-border Wealth Management activities.
Role type
VP, International Wealth Management Compliance Officer
Builds
Compliance frameworks, policies, and control standards for international and cross-border Wealth Management activities.
Domain
Financial Services / Wealth Management / International Regulatory Compliance
Required skills
Jurisdictional expertise in U.S. and non-U.S. financial services regulation, Policy and procedure development, Risk assessment and thematic reviews, Regulatory inquiry management, Cross-border initiative leadership, Executive presence and stakeholder influence
Preferred skills
FINRA Series 7 and 24 or 9/10
Technologies
None stated
Responsibilities
Provide authoritative guidance on securities laws and licensing requirements across non-U.S. markets; Develop new compliance policies and control frameworks for cross-border activities; Lead participation in senior governance forums (New Product, Risk, Financial Crime Committees); Direct risk assessments, testing, and training; Oversee complex cross-border regulatory matters and remediation; Build partnerships across Legal, Compliance, Risk, and business teams.
Seniority
Vice President, Executive level
