Iowa Licensed Compliance Consultant

Job Summary

A company is looking for a Compliance Consultant in Wealth Management.

Key Responsibilities

• Manage and coordinate Wealth Management compliance activities, ensuring adherence to regulatory requirements
• Review and update policies and procedures, collaborating with business units to enhance compliance practices
• Conduct compliance reviews and training, and respond to regulatory and client-initiated complaints

Required Qualifications

• Bachelor's Degree preferred
• Minimum 5 years' experience in compliance, internal audit, risk, legal, or securities preferred
• Knowledge of SEC regulations preferred
• Experience in report development, data analytics, and policy/procedure development preferred
• Series License-65 preferred