Director - Business Compliance, Wealth Management

• 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.