Executive Director, US Private Wealth Compliance

Executive Director, US Private Wealth Compliance About the Company Globally-recognized financial institution IndustryBanking TypePublic Company Founded1961 Employees10,001+ Categories Financial ServicesBanking & MortgagesConsulting & Professional ServicesFinanceBankingBanking ProductsBanking ServicesBanks and InstitutionsCanadaOnline BankingOntarioPersonal Banking Specialties retail bankingbusiness bankingwealth managementand wholesale banking Business Classifications B2B About the Role The Company is seeking an Executive Director for US Private Wealth Compliance. The successful candidate will be responsible for developing, implementing, and maintaining a robust compliance program that meets all relevant SEC, FINRA, OCC, Federal Reserve, and Delaware regulatory requirements. This role involves overseeing the investment activities of the private wealth business units, participating in governance committees, and ensuring that the business is in full compliance with all applicable regulations. The Executive Director will also be expected to provide strategic advice, collaborate with senior management, and lead the annual compliance plan execution. To excel in this position, candidates must have a minimum of 10 years' experience in a compliance role within a registered RIA, broker-dealer, or bank, with a strong understanding of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and applicable FINRA Conduct Rules. A working knowledge of OCC and other banking-related regulations is essential. The role requires a proactive and independent approach to compliance, the ability to manage a fast-paced environment, and strong interpersonal, organizational, and problem-solving skills. The ideal candidate will be a trusted partner, with a proven track record of maintaining sound working relationships and a commitment to the values of trust, teamwork, and accountability. Hiring Manager TitleUS PWG Chief Compliance Officer Travel PercentLess than 10% Functions CEO/PresidentNon-Profit ManagementFinanceOperationsStrategy

Created: 2025-01-30