* 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.
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