VP, Business Compliance Officer – Wealth Management

• Lead wealth compliance initiatives across a regulated environment
• Partner with senior leaders on regulatory oversight and risk programs

About Our Client

Large tier-one bank located in Midtown.

Job Description

In this position, you will make a strategic impact by:

• Enhancing and managing the compliance program supporting Wealth businesses, ensuring alignment with regulatory standards across OCC, consumer banking regulations, SEC, and FINRA.
• Building strong partnerships with business leaders to address regulatory findings, lead audit/exam discussions, and present to senior management.
• Advising on compliance considerations related to new products, services, and initiatives, including designing appropriate controls and monitoring mechanisms.
• Developing and executing monitoring, testing, and risk assessment programs within a dynamic and evolving business model.
• Managing key elements of the compliance framework including policies, procedures, issue management, and ongoing reporting.
• Serving as a subject matter expert within governance forums and advising stakeholders across Wealth Management.
• Working with technology and product teams to integrate compliance expectations into product development and operational workflows.
• Supporting interactions with regulators by preparing materials, coordinating responses, and contributing to strategy for regulatory engagements.
• Influencing cross‑functional teams and stakeholders through strong communication, leadership presence, and analytical insight.
• Preparing executive‑level reporting, dashboards, and risk summaries for leadership and board committees.

The Successful Applicant

What We’re Looking For

• 5+ years of experience in wealth management or consumer banking compliance advisory roles.
• 3+ years of experience in consumer compliance or consumer banking, including regulatory frameworks and requirements.
• Experience with trust and fiduciary rules is a plus.
• Deep understanding of OCC, consumer banking regulations, FINRA, and/or SEC requirements.
• Bachelor’s degree required; advanced degrees (JD, MBA) or compliance certifications strongly preferred.
• Exceptional written and verbal communication abilities, strong analytical skills, and a problem‑solving mindset.
• Demonstrated ability to collaborate across lines of business and influence senior stakeholders.

What’s on Offer

• Competitive salary ranging from $70,000 to $140,000 USD.
• Comprehensive benefits package tailored to employee needs.
• Opportunities for professional growth within the financial services industry.
• Collaborative work environment that fosters innovation and regulatory excellence.

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