Job Summary & Responsibilities

The role of Compliance within PWM is to partner with the business in order to conduct and supervise its business in compliance with regulations and firm policies, help to reduce the firm’s regulatory and reputation risk, and reinforce the firm’s culture of compliance.

The successful candidate will be responsible for reviewing client contact summaries created by Private Wealth Advisors to ensure compliance with firm policies.  The review process will mainly focus on ensuring Private Wealth Advisors are documenting the suitability of client investments, material discussions with clients about their portfolio or significant changes to the client’s circumstances.  Team members will also have the opportunity to manage projects, participate in firm wide initiatives, and conduct training.

Principal Responsibilities:
•  Utilize surveillance systems to review notes for content, accuracy, and appropriateness
•  Identify, document and resolve potential compliance related issues
•  Create monthly reporting and present to leadership
•  Create efficiencies with existing surveillances
•  Interact with Divisional and Regional Compliance on various issues and projects
•  Interact with Private Wealth Management teams regarding client communication

Basic Qualifications

•  Bachelor’s degree required
•  Basic understanding of the fundamentals of the financial industry

Skills and Characteristics:
•  High energy and focus with the ability to handle a variety of issues
•  Strong analytical skills
•  Attention to detail
•  Ability to exercise balanced judgment
•  Must work well in a team
•  Positive hands-on attitude
•  Excellent communication and influencing skills
•  Motivated and adaptable; ability to respond creatively and quickly in a fast-paced environment
•  Ability to manage client expectations and competing priorities

Excellence Corporate Consulting is an equal opportunity employer. © The Excellence Corporate Consulting, Inc., 2017. All rights reserved.