Compliance, Private Wealth Management PWM Compliance, Vice President, New York New York · · Vic[

Global Compliance

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations;

designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You ll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

Private Wealth Management (“PWM”) Compliance is responsible for supervising the business to ensure compliance with regulations and firm policies as well as assist with the implementation of new regulations and new systems / processes. The team covers many of the businesses within PWM that are constantly growing and changing. We are looking for a team member who wants to be part of growing the business in new dimensions – someone who is equal part visionary and executor.

At times, the role will require you to navigate and solve problems with multiple teams and stakeholders.

We look to those who possess sound judgement, curiosity, and can adapt to a changing regulatory landscape.

As a contributor within PWM Compliance, a successful candidate will be responsible for supporting and organizing Compliance’s involvement in various projects and processes as well as being the key Compliance contact for certain working groups and business lines while developing subject matter expertise in regulations applicable to the business. Additionally, the role will involve working in collaboration with the broader compliance team to deliver high quality work products, reflecting attention to detail and analytical prowess.

PWM Compliance is seeking a Vice President based in New York to join our team. This role will support a diverse range of PWM Compliance coverage areas and strategic initiatives, partnering closely with business leaders, Legal, Risk, and other control functions. The successful candidate will serve as a key compliance advisor on regulatory, supervisory, and business-driven projects while helping drive the ongoing enhancement of compliance risk management practices across the division.

The role offers exposure to a broad range of business activities and compliance disciplines, including regulatory change management, governance, marketing review, risk assessments, training, examinations, and strategic business  addition to the above, responsibilities may include:

• Interacting with the global PWM business and compliance teams on a daily basis
• Having knowledge and understanding of different rules and regulations and how they impact the PWM business
• Tracking, reviewing, and analyzing regulatory updates and assisting with implementing necessary changes across the business
• Preparing supervisory meeting materials detailing key metrics and regulatory issues
• Assisting with firm risk assessment processes for PWM business lines
• Reviewing marketing materials that are used to pitch PWM products and services to clients
• Responding to different regulatory examinations and inquiries pertaining to PWM
• Developing and implementing policies, procedures and best practices for PWM
• Reviewi…