Wealth Management Compliance Officer

Job Summary

A company is looking for a Compliance Officer - Wealth Management and Trust Testing.

Key Responsibilities

• Conduct risk-based monitoring and evaluation of wealth management and trust-related compliance and operational risks
• Analyze findings and document results of testing in management reports, ensuring effective risk management processes
• Develop and maintain collaborative relationships with management and internal clients to enhance compliance efforts

Required Qualifications

• Bachelor's degree
• Minimum 3 years of experience in wealth management compliance, risk management, or auditing
• Functional knowledge of wealth management products and trust/fiduciary compliance regulations
• Demonstrated ability to work autonomously and adapt to changing priorities
• Strong interpersonal skills and ability to collaborate effectively with diverse teams