Director - Business Compliance, Wealth Management

This role leads core components of the compliance program supporting a broad wealth management platform. The Director will oversee regulatory alignment, partner with leaders across the business, and guide monitoring, testing, product reviews, and governance activities. The position is ideal for an experienced compliance professional who excels in complex regulatory environments and can influence senior stakeholders.

Client Details

Top tier bank located in Midtown.

Description

• Lead key elements of the compliance program supporting wealth products and services, ensuring alignment with OCC, consumer banking, SEC, and FINRA expectations
• Partner with senior business and functional leaders to address audit findings, regulatory issues, and examination outcomes
• Advise on new products, activities, and initiatives, providing guidance on control design and monitoring requirements
• Build and refine monitoring, testing, and risk assessment processes for evolving and complex business models
• Oversee compliance framework components, including policies, procedures, issue management, reporting, and ongoing governance
• Participate in governance meetings and act as a subject matter expert for compliance matters across wealth management
• Collaborate with product, operations, and technology teams to embed compliance considerations throughout product and service lifecycles
• Support the preparation of materials for regulatory engagements, including examinations, meetings, and written responses
• Produce reporting, dashboards, and risk assessments for senior leadership and board‑level audiences
• Engage and influence senior executives and cross‑functional partners through clear communication and strong analytical insight

Profile

• 10+ years of compliance experience in wealth management or consumer banking
• At least 5 years of experience in consumer compliance or related regulatory advisory roles
• Strong knowledge of OCC, consumer banking, FINRA, and SEC requirements
• Bachelor's degree required; advanced degree or relevant certifications preferred
• Proven ability to work independently, manage complex compliance programs, and interact with senior leaders
• Skilled communicator with strong analytical capabilities and a solution‑oriented mindset

Job Offer

Competitive base salary $127,000 - $210,000.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.