Director, Compliance & Process Excellence

A financial services firm is seeking a Director, Compliance to lead and enhance the compliance program. The role requires strong expertise in retail wealth management compliance and a minimum of 8 years in a relevant position. Responsibilities include executing compliance initiatives, managing a team, and ensuring adherence to investment advisory regulations. Ideal candidates will demonstrate strong regulatory judgment and possess a bachelor’s degree, with preferred qualifications of a law degree or relevant certifications.

This position offers a chance to play a key role in a dynamic and growth-oriented environment.
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