Compliance Director - Wealth Management - Howard-Sloan Search : Job Details

A growing Investment Management firm seeks a Compliance Director – Wealth Advisory.

Los Angeles -HYBRID - Relocation available for the right candidate!

The Compliance Director will support & champion the overall compliance program for the private wealth management/wealth advisory divisions -including working on overall design implementation, & maintenance of protocols to ensure compliance for the evolving and growing wealth advisory businesses.

• Manage day-to-day compliance oversight of wealth advisory business. (wealth advisors, associates, & nation wide sales team)
• Assist with drafting compliance policies & procedures.
• Work with CCO to develop & manage annual review compliance testing.
• Responsible for the review & approval of new wealth advisory accounts.
• Collaborate with marketing team for compliance reviews of wealth advisory-related materials.
• Assist with the development & performance of wealth advisory trade surveillance policies and procedures.
• Support overall due diligence for the wealth advisory business.

The ideal candidate has 10+ years of compliance experience in private wealth management & compliance experience working with sales-oriented teams.