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Director - Business Compliance, Wealth Management

New York, New York Permanent $130,000 - $210,000 per year View Job Description
This role leads core components of the compliance program supporting a broad wealth management platform. The Director will oversee regulatory alignment, partner with leaders across the business, and guide monitoring, testing, product reviews, and governance activities. The position is ideal for an experienced compliance professional who excels in complex regulatory environments and can influence senior stakeholders.
  • 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 summary

Function
Policy, Economics & Regulatory Affairs
Subsector
Policy, Economics & Regulatory Affairs Subsector
Industry
Financial Services
Location
New York
Contract type
Permanent
Consultant name
Lauren Van Manen
Job reference
JN-042026-6987236

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