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- Tasks: Lead compliance initiatives in wealth management and partner with senior leaders on regulatory oversight.
- Company: A large tier-one bank located in Midtown, known for its collaborative culture.
- Benefits: Competitive salary, comprehensive benefits, and opportunities for professional growth.
- Other info: Collaborative work environment that fosters innovation and career advancement.
- Why this job: Make a strategic impact in a dynamic environment while ensuring regulatory excellence.
- Qualifications: 5+ years in wealth management compliance and strong communication skills required.
The predicted salary is between 70000 - 140000 £ per year.
Lead wealth compliance initiatives across a regulated environment. Partner with senior leaders on regulatory oversight and risk programs.
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:
- 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.
VP, Business Compliance Officer - Wealth Management in Lincolnshire employer: Page Executive
Contact Detail:
Page Executive Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land VP, Business Compliance Officer - 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 VP, Business Compliance Officer role. You never know who might have the inside scoop on openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of OCC, SEC, and FINRA regulations. Be ready to discuss how you've tackled compliance challenges in the past and how you can enhance the compliance programme at a large tier-one bank.
✨Tip Number 3
Showcase your leadership skills! During interviews, highlight your experience in influencing cross-functional teams and presenting to senior management. This will demonstrate that you can effectively manage compliance initiatives and build strong partnerships.
✨Tip Number 4
Don't forget to apply through our website! We’ve got a range of opportunities that could be perfect for you. Plus, it’s a great way to ensure your application gets the attention it deserves.
We think you need these skills to ace VP, Business Compliance Officer - Wealth Management in Lincolnshire
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the job description. Highlight your experience in wealth management compliance and any relevant regulatory frameworks. We want to see how your background aligns with what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for the VP, Business Compliance Officer role. Share specific examples of how you've influenced compliance initiatives in the past.
Showcase Your Communication Skills: Since this role requires exceptional communication abilities, make sure your application reflects that. Use clear, concise language and structure your documents well. We love seeing strong written skills right from the start!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss out on any important updates. Plus, it’s super easy!
How to prepare for a job interview at Page Executive
✨Know Your Regulations
Make sure you brush up on the key regulations like OCC, SEC, and FINRA. Being able to discuss these in detail will show that you’re not just familiar with them but can also apply them strategically in your role.
✨Showcase Your Leadership Skills
Prepare examples of how you've influenced cross-functional teams or led compliance initiatives in the past. This is crucial for a VP role, so be ready to demonstrate your leadership presence and communication skills.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance challenges or regulatory findings. Think through potential scenarios and how you would advise stakeholders or manage issues effectively.
✨Bring Data to the Table
Since you'll be preparing executive-level reporting and dashboards, come prepared with examples of how you've used data to drive compliance decisions. Highlight your analytical skills and problem-solving mindset.