Head of Compliance

A leading financial institution is seeking a senior compliance executive to lead compliance oversight for its Wealth Management platform, including investment advisory, broker‑dealer, private banking, trust, and fiduciary businesses. This role will develop and execute the compliance strategy, strengthen risk management frameworks, and ensure adherence to applicable banking, securities, and fiduciary regulations. The successful candidate will serve as a trusted advisor to executive leadership while providing independent oversight and challenge to business activities. This individual will play a critical role in fostering a culture of integrity, regulatory compliance, and sound risk management across a complex and highly regulated environment. Key Responsibilities Lead the compliance program supporting wealth management, private banking, investment advisory, broker‑dealer, trust, and fiduciary businesses. Develop and enhance compliance frameworks, policies, procedures, and governance structure. Promote a strong culture of ethics, accountability, and regulatory compliance across the organization. Serve as a senior advisor to business leadership on compliance, regulatory, and conduct risk matters. Provide strategic guidance regarding securities, investment advisory, fiduciary, and banking regulation. Deliver independent challenge and oversight of business activities to ensure compliance risks are effectively identified and managed. Support new products, services, business initiatives, and strategic growth opportunities through regulatory risk assessments and advisory review. Monitor regulatory developments and assess their impact on business operations and compliance program. Oversee compliance risk assessments, monitoring activities, surveillance programs, and testing initiatives. Evaluate the effectiveness of internal controls and recommend enhancements where necessary. Prioritize compliance resources and oversight activities based on risk exposure and regulatory expectations. Review and challenge remediation plans addressing identified compliance issues and regulatory findings. Oversee regulatory compliance activities related to investment advisory and brokerage operations. Maintain governance over regulatory filings, disclosures, registrations, and licensing requirements. Ensure compliance programs align with regulatory expectations applicable to advisory, brokerage, and fiduciary businesses. Partner with specialized compliance functions supporting surveillance, conflicts management, licensing, and conduct risk oversight. Lead regulatory examinations, audits, inquiries, and supervisory interaction. Provide compliance reporting and risk updates to executive leadership, governance committees, and boards of directors. Coordinate responses to regulatory findings and oversee corrective action implementation. Build strong working relationships with regulators, auditors, and key external stakeholders. Lead, mentor, and develop a team of compliance professionals. Foster a collaborative, high‑performance environment focused on accountability and continuous improvement. Establish compliance training and awareness programs tailored to business‑specific risks and obligations. Partner across business and control functions to strengthen enterprise compliance capabilities. Qualifications Bachelor's degree required. 10+ years of wealth management, investment advisory, broker‑dealer, trust, fiduciary, or related compliance experience within financial services. 5+ years of leadership experience managing compliance teams and programs. Deep knowledge of investment advisory, brokerage, fiduciary, and banking regulatory frameworks. Experience leading regulatory examinations, audits, remediation efforts, and regulatory interactions. Strong executive presence with the ability to influence senior stakeholders and governance bodies. Excellent written, verbal, analytical, and leadership skills. #J-18808-Ljbffr Madison-Davis, LLC