Description

The Division Compliance Officer will engage with the Wealth Management Division Supervision team as a subject matter expert on complex matters. Your role will involve monitoring, reviewing, and escalating concerns related to Financial Advisors who may require Heightened Supervision. You will help identify and address trends and areas of potential concern while reviewing and updating relevant policies to ensure compliance with current regulatory requirements.

Company Culture and Environment

The work environment encourages collaboration and expertise within the Wealth Management Division, fostering a culture of continuous improvement and compliance awareness.

Career Growth and Development Opportunities

This role offers opportunities for professional growth as you gain insights into compliance and regulatory practices, positioning yourself for advancement within the legal and compliance sectors of the organization.

Detailed Benefits and Perks

• Opportunities to work in a supportive team environment
• Engagement in complex compliance matters that enhance professional skills

Compensation and Benefits

• Competitive salary commensurate with experience
• Comprehensive health insurance plans
• Retirement savings options
• Generous paid time off and holidays
• Professional development opportunities

Why you should apply for this position today

This position presents an opportunity to play a vital role in compliance within a leading wealth management division. By applying, you will contribute to maintaining high standards of regulatory compliance and support financial advisors in their professional endeavors, making a positive impact in the industry.

Skills

• Strong understanding of compliance and regulatory frameworks
• Ability to analyze complex financial matters
• Excellent communication and interpersonal skills
• Detail-oriented with strong organizational abilities
• Proficient in policy development and review

Responsibilities

• Serve as a subject matter expert in compliance matters
• Monitor and review Financial Advisors for Heightened Supervision
• Identify and address trends and potential concerns
• Review and update policies to align with regulatory requirements

Qualifications

• JD degree required
• Experience in compliance or regulatory affairs in financial services
• Proven ability to work collaboratively with teams

Education Requirements

• Juris Doctor (JD) degree

Education Requirements Credential Category

• Doctorate

Experience Requirements

• Relevant experience in compliance or regulatory roles within the financial services sector is preferred.

Why work in Washington, DC

Washington, DC is a vibrant city known for its rich history, diverse culture, and robust professional opportunities. As the nation’s capital, it offers a unique blend of political, social, and economic activities, making it an ideal place for professionals seeking to grow their careers in compliance and law.