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- Tasks: Lead compliance strategy for a high-profile wealth management business and advise senior leaders.
- Company: Top-tier bank in Midtown with a strong reputation.
- Benefits: Competitive salary, career growth, and the chance to influence key compliance decisions.
- Other info: Dynamic role with opportunities to engage with senior executives and drive impactful change.
- Why this job: Shape the future of wealth management compliance and work with industry leaders.
- Qualifications: 10+ years in compliance, strong knowledge of regulatory requirements, and excellent communication skills.
The predicted salary is between 127000 - 210000 £ per year.
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.
Director - Business Compliance, Wealth Management in Lincolnshire employer: Page Executive
Contact Detail:
Page Executive Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Director - Business Compliance, Wealth Management in Lincolnshire
✨Tip Number 1
Network like a pro! Reach out to your connections in the wealth management sector and let them know you're on the hunt for a Director role. Personal referrals can give you a leg up, so don’t be shy about asking for introductions.
✨Tip Number 2
Prepare for those interviews by brushing up on your knowledge of OCC, SEC, and FINRA regulations. We want you to be the go-to expert in the room, so practice articulating how your experience aligns with compliance strategies in wealth management.
✨Tip Number 3
Showcase your analytical skills! Bring examples of how you've tackled complex compliance issues in the past. We love seeing candidates who can demonstrate their problem-solving abilities with real-world scenarios.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we’re always looking for top talent to join our team, so make sure you put your best foot forward!
We think you need these skills to ace Director - Business Compliance, Wealth Management in Lincolnshire
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter to highlight your experience in compliance, especially in wealth management. We want to see how your skills align with the specific requirements mentioned in the job description.
Showcase Your Expertise: Don’t hold back on showcasing your knowledge of OCC, SEC, and FINRA regulations. We’re looking for someone who can advise senior leaders effectively, so make sure to include relevant examples from your past roles.
Be Clear and Concise: When writing your application, clarity is key! Use straightforward language and get straight to the point. We appreciate strong communication skills, so make sure your application reflects that.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for this exciting opportunity in our top-tier bank!
How to prepare for a job interview at Page Executive
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of OCC, SEC, and FINRA regulations. Being able to discuss these in detail will show that you're not just familiar with the requirements but can also advise on them effectively.
✨Showcase Your Leadership Skills
Prepare examples of how you've led compliance initiatives in the past. Highlight your experience in managing complex programmes and how you've influenced senior leaders. This will demonstrate your capability to take charge in a high-visibility role.
✨Be Ready for Scenario Questions
Expect questions that ask how you would handle specific regulatory challenges or audit findings. Think through potential scenarios beforehand and be ready to articulate your thought process and solutions clearly.
✨Communicate Clearly and Confidently
Practice articulating your thoughts on compliance strategies and risk assessments. Strong communication is key, especially when engaging with senior executives. Make sure you can convey complex ideas simply and effectively.