Compliance Director - Wealth Management

Location: Remote - US based candidates only, no visa sponsorship available

About the role

This role will provide business-aligned guidance focused on governance, compliance, and operational risk management. You will partner with leaders, compliance stakeholders, and cross-functional teams to translate complex issues into practical recommendations. The position offers the opportunity to strengthen responsible execution, improve decision-making, and support sustainable growth within a regulated financial services environment.

Responsibilities

• Serve as the subject matter expert on wealth management compliance risks
• Act as Chief Compliance Officer for the Municipal Advisor Department
• Develop relationships with business and compliance partners
• Oversee line of business initiatives and controls
• Identify process improvements and control gaps
• Stay current on regulations and assist with compliance exams
• Educate and provide advice on relevant regulations

Requirements

• Bachelor's degree or equivalent experience required
• 10+ years in wealth management, with 5+ years in compliance
• Strong understanding of bank/non-bank entity regulations
• Knowledge of investment compliance and alternative investment products
• Experience in the Municipal Advisor regulatory environment

Pay

$128,000 – $268,000 annually

Benefits

• Flexible work options after evaluating role requirements
• Eligibility for various incentive compensation plans
• Robust health and wellness offerings
• Opportunities for professional development and training
• Supportive team dynamics with a focus on team management