WM Regulatory Compliance Lead

Accountabilities and Key Roles: Lead the development, implementation, and oversight of regulatory compliance frameworks for wealth management activities, ensuring alignment with applicable laws, regulations, and internal policies.

Provide guidance to Wealth Management teams on regulatory requirements, suitability standards, conduct obligations, and clientprotection rules. Monitor regulatory changes, market developments, and emerging compliance risks affecting wealth management products and services.

Conduct risk assessments, compliance reviews, and gap analyses specific to wealth management operations. Support regulatory reporting, examinations, and inquiries related to Wealth Management activities. Deliver compliance training to Wealth Management staff to reinforce regulatory expectations and best practices.

Identify compliance risks and support corrective and preventive actions to strengthen controls and reduce regulatory exposure. Collaborate with business units to resolve compliance issues and ensure effective controls related to wealth management operations.

Oversee training and awareness programs to promote a strong compliance culture within wealth management teams. Liaise with regulatory authorities, auditors, and external stakeholders on wealth management compliance matters.

Mentor and develop wealth management compliance staff, fostering high standards of expertise and professionalism.

Job Requirements

Education: Bachelor's degree in Finance, or a related field from a recognized university. Professional certifications in regulatory compliance, wealth management (preferred). Experience: Minimum of 10 Years of experience in regulatory compliance wealth management. Experience in banking or financial services sector.

Competencies: Strong knowledge of wealth management regulations, products, and compliance frameworks. Analytical and problem-solving skills. Excellent communication, presentation, and report writing abilities. Leadership and team management. Project management and coordination skills.

Attention to detail and professional integrity. Stakeholder management and collaboration.