WM Field Compliance Advisory Coverage Specialist

What You'll Do In The Role

• Provide subject matter coverage and advisory oversight across key Business Units including Service Review Unit (SRU), Virtual Engagement Associates (VEA), and Central Review Unit (CRU).
• Establish a structured communication framework for significant policy changes to drive consistent interpretation and execution across the Field.
• Oversee the production, interpretation, and evolution of existing dashboards and reporting, ensuring outputs are decision-useful, risk-aligned, and appropriately contextualized for stakeholders (both internal and regulators).
• Assist in shaping WM Field AI Governance and Framework as it applies to covered Compliance areas, focusing on risk ownership and mitigation, supervisory expectations, and practical guardrails.
• Support coordination and risk advisory input for Field-Facing Integrated Firm initiatives and events, including client/prospect clearance processes and Regional/Market supervisory engagement.
• Provide advisory leadership on Trade Error Management enhancements, translating reporting outputs into clear supervisory guidance for the Field.
• Execution of Voice of the Field (VOTF) Initiatives, including guidance on Field Compliance responses and coordination with WM Compliance colleagues on responses to the Field.
• Act as liaison for Client Segment Risk Conduct, Controls, and Governance Working Groups (including but not limited to Rule 3210/2070, Branch Examination Prep, and Data Governance).
• Maintain and enhance existing dashboards with the goal of improving usability and actionability for RCOs and Field Service Compliance.
• Serve as Field Compliance's point of coordination for quarterly FINRA/SEC reporting, focusing on narrative integrity, trend interpretation, and risk signaling.
• Partner with the Compliance Conduct Risk team to align and rationalize reporting, reducing duplication and improving enterprise consistency.
• Act as liaison with ORD on cross group themes, observations, and emerging issues.

  What you'll bring to the role:

  • A minimum of 6+ years relevant experience;
  • A strong understanding of SEC and FINRA regulations, with a particular focus on sales practice and suitability concerns involving retail products in brokerage and advisory accounts;
  • Knowledge of various products, including Futures, Annuities, Structured Investments, Alternative Investments, Exchange-Traded Products, Fixed Income, Equities, Options, Unit Investment Trusts, and Mutual Funds;
  • Understanding of conflicts of interest and business practices typically associated with a broker-dealer (e.g. gifts, non-cash compensation, outside business activities, trading, etc.);
  • Ability to challenge the Business where there is a potential for regulatory or reputational risk;
  • The ideal candidate will be proactive, have strong verbal and written communications skills, and the ability to prioritize and handle multiple tasks in a fast-paced environment;
  • Ability to analyze data and identify and escalate key trends, patterns, and root causes;
  • Ability to work within a team and act independently;
  • Excellent judgment and the ability to be discreet in all matters;
  • Bachelor's Degree required;
  • Working Knowledge of Tableau Analytics Software and Dashboard Maintenance and Creation;
  • Preference for FINRA SIE, Series 7, 9/10, 24, and/or 65/66.