VP, Business Compliance Officer - Wealth Management

• Lead wealth compliance initiatives across a regulated environment
• Partner with senior leaders on regulatory oversight and risk programs

About Our Client

Large tier-one bank located in Midtown.

Job Description

In this position, you will make a strategic impact by:

• Enhancing and managing the compliance program supporting Wealth businesses, ensuring alignment with regulatory standards across OCC, consumer banking regulations, SEC, and FINRA.
• Building strong partnerships with business leaders to address regulatory findings, lead audit/exam discussions, and present to senior management.
• Advising on compliance considerations related to new products, services, and initiatives, including designing appropriate controls and monitoring mechanisms.
• Developing and executing monitoring, testing, and risk assessment programs within a dynamic and evolving business model.
• Managing key elements of the compliance framework including policies, procedures, issue management, and ongoing reporting.
• Serving as a subject matter expert within governance forums and advising stakeholders across Wealth Management.
• Working with technology and product teams to integrate compliance expectations into product development and operational workflows.
• Supporting interactions with regulators by preparing materials, coordinating responses, and contributing to strategy for regulatory engagements.
• Influencing crossfunctional teams and stakeholders through strong communication, leadership presence, and analytical insight.
• Preparing executivelevel reporting, dashboards, and risk summaries for leadership and board committees.

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.


The Successful Applicant

What We're Looking For

• 5+ years of experience in wealth management or consumer banking compliance advisory roles.
• 3+ years of experience in consumer compliance or consumer banking, including regulatory frameworks and requirements.
• Experience with trust and fiduciary rules is a plus.
• Deep understanding of OCC, consumer banking regulations, FINRA, and/or SEC requirements.
• Bachelor's degree required; advanced degrees (JD, MBA) or compliance certifications strongly preferred.
• Exceptional written and verbal communication abilities, strong analytical skills, and a problemsolving mindset.
• Demonstrated ability to collaborate across lines of business and influence senior stakeholders.

What's on Offer

• Competitive salary ranging from $70,000 to $140,000 USD.
• Comprehensive benefits package tailored to employee needs.
• Opportunities for professional growth within the financial services industry.
• Collaborative work environment that fosters innovation and regulatory excellence.

Contact

Lauren Van Manen

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