Director - Business Compliance, Wealth Management Job at Confidential, New York, NY

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  • Confidential
  • New York, NY

Job Description

  • Shape compliance strategy for a complex, high‑visibility wealth business
  • Advise senior leaders on regulatory expectations and emerging risks

About Our Client

Top tier bank located in Midtown.

Job Description

  • Lead key elements of the compliance program supporting wealth products and services, ensuring alignment with OCC, consumer banking, SEC, and FINRA expectations
  • Partner with senior business and functional leaders to address audit findings, regulatory issues, and examination outcomes
  • Advise on new products, activities, and initiatives, providing guidance on control design and monitoring requirements
  • Build and refine monitoring, testing, and risk assessment processes for evolving and complex business models
  • Oversee compliance framework components, including policies, procedures, issue management, reporting, and ongoing governance
  • Participate in governance meetings and act as a subject matter expert for compliance matters across wealth management
  • Collaborate with product, operations, and technology teams to embed compliance considerations throughout product and service lifecycles
  • Support the preparation of materials for regulatory engagements, including examinations, meetings, and written responses
  • Produce reporting, dashboards, and risk assessments for senior leadership and board‑level audiences
  • Engage and influence senior executives and cross‑functional partners through clear communication and strong analytical insight

The Successful Applicant

  • 10+ years of compliance experience in wealth management or consumer banking
  • At least 5 years of experience in consumer compliance or related regulatory advisory roles
  • Strong knowledge of OCC, consumer banking, FINRA, and SEC requirements
  • Bachelor's degree required; advanced degree or relevant certifications preferred
  • Proven ability to work independently, manage complex compliance programs, and interact with senior leaders
  • Skilled communicator with strong analytical capabilities and a solution‑oriented mindset

What's on Offer

Competitive base salary $127,000 - $210,000.

Contact

Lauren Van Manen

Quote job ref

JN-042026-6987236

Job Tags

Permanent employment

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