Compliance Officer - Wealth

$92.87k - $152.57k

Full-time

WSFS Bank

Job Description
At WSFS Bank, we empower our Associates to grow their careers, guide our customers to secure their financial futures, and actively support our Communities so they can fully thrive. Careers with WSFS Bank offer an inclusive and supportive culture, competitive salaries, advancement opportunities, and more. We are the region's locally headquartered bank and wealth management company. We are honored to consistently be named a Top Workplace by our Associates, who make a difference every day for the people, businesses, and Communities we serve. We Stand For Service® is more than part of our name, it's our mission and our purpose.
The Compliance Officer serves as a second line of defense oversight leader responsible for providing independent governance, effective challenge, and compliance risk advisory across Wealth Division products, services, and client-facing activities. This role ensures that first line Wealth business units have appropriately identified, designed, implemented, and sustained compliance controls aligned with regulatory requirements, enterprise risk appetite, and the three lines of defense risk framework. This position operates independently of first line execution and provides credible challenge, regulatory interpretation, risk assessment, issue oversight, and strategic advisory support to Wealth leadership. The incumbent will partner closely with first line business leaders, first line wealth risk and compliance, Enterprise Risk Management (ERM), Operational Risk Management (ORM), Legal, Internal Audit, Technology, and regulators to strengthen the control environment, protect clients, and support safe and sound growth.
Job Responsibilities:
Provide independent oversight and effective challenge to first line Wealth risk management activities.
Assess whether first line compliance controls are adequately designed, implemented, and operating effectively across Wealth lines of business.
Ensure alignment with enterprise risk appetite, regulatory expectations, and the three lines of defense model.
Serve as an independent control function-not responsible for business execution or operational ownership.
Interpret and apply federal and state regulatory requirements (e.g., OCC, SEC, FRB, state regulators, Investment Company Act of 1940, securities laws, fiduciary standards, OCC's RNDIP requirements).
Provide clear, practical guidance to first line leaders on compliance risk, control design, and regulatory expectations.
Advise on new and changed products, services, processes, marketing, disclosures, and client communications from a risk compliance perspective.
Translate regulatory complexity into business-relevant, risk-based guidance.
Lead or support the annual compliance risk assessment for Wealth Division.
Evaluate inherent risk, control effectiveness, and residual risk.
Maintain oversight of the compliance obligation inventory and associated control mapping.
Define and monitor key risk indicators (KRIs) and compliance metrics.
Provide second line oversight of issue identification, root cause analysis, remediation planning, and sustainability.
Challenge remediation plans and validate adequacy of corrective actions.
Strengthen issue self-identification, reduce overdue issues, and improve remediation discipline.
Oversee regulatory issues, MRAs, audit findings, and compliance matters impacting Wealth.
Oversee first line monitoring, QA, and control testing framework s .
Review results, identify trends, and escalate systemic risks.
Conduct targeted second line reviews and surveillance as needed.
Ensure alignment between compliance monitoring, audit outcomes, and risk assessments.
Support and participate in regulatory examinations, audits, and inquiries.
Review first line materials for regulatory readiness.
Provide independent compliance perspective in supervisory interactions.
Manage regulatory response coordination for Wealth-related matters.
Review, and maintain compliance policies, standards, and guidance applicable to Wealth.
Support training development to strengthen first line risk ownership and compliance capability.
Act as a subject matter expert across Wealth compliance domains.
Support the Risk Management Strategic Plan, including three lines of defense maturity, compliance built-in mindset, risk ownership in the first line, and integrated risk governance.
Represent Compliance in enterprise forums, working groups, and committees.
Support compliance technology initiatives and GRC platform evolution.
Minimum Qualifications:
Bachelor's degree or equivalent experience.
5+ years experience in compliance, risk management, audit, or regulatory oversight.
Strong knowledge of wealth management, trust, investment, fiduciary, and advisory-related activities.
Experience in second line oversight, compliance advisory, or risk governance.
Ability to provide effective challenge and independent judgment.
Strong regulatory interpretation and analytical skills.
Excellent written and verbal communication.
Experience interacting with regulators and auditors.
Experience in an integrated wealth business (bank subsidiary, trust, RNDIP, , investment advisory) preferred.
Knowledge of SEC, r, RIA, fiduciary, and RNDIP regulatory frameworks preferred.
Experience with compliance risk assessments and issue management preferred.
Professional certifications: CRCM, CIA, CFSA preferred.
Experience with GRC platforms, risk systems, and compliance analytics tools preferred.
WSFS Bank will only consider candidates who are presently authorized to work for any employer in the United States and who will not require work visa sponsorship from WSFS Bank now or in the future in order to retain their authorization to work in the United States.
Salary Range:
$92,869.00 - $152,569.00
Individual base pay may vary on additional factors such as the candidate's experience, job-related skills, relevant education, geographic location, and other specific business and organizational needs.
In addition to base salary, WSFS Financial Corporation (WSFS) and its subsidiaries may offer eligible Associates discretionary and formula-based incentive and retention awards. WSFS provides a competitive benefits package, which includes medical, dental, and vision coverage; a 401(k) plan; life, accident, and disability insurance; flexible spending accounts (FSAs) and health savings accounts (HSAs); and wellness programs. Additional benefits may include paid parental leave, military leave, vacation and other paid time off, sick leave in accordance with applicable state laws, and paid holidays. Benefit offerings are subject to eligibility requirements, legal limitations, and may vary based on an Associate's location and employment status. For more information about Associate benefits, please visit
WSFS Bank is inclusive and supportive of individual needs. If you have a physical or other impairment that might require an accommodation, including technical assistance with the WSFS Bank Careers website or submission process, please contact us via email at View email address on aplitrak.com.
WSFS is an equal opportunity employer. We do not discriminate based upon race, religion, color, national origin, gender (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

Apply

Vacancy posted 1 day ago

Similar jobs that could be interesting for youBased on the Compliance Officer - Wealth in Wilmington, NC vacancy

Wealth Advisor
...or Cetera Investors), a broker‑dealer that supports and grows wealth management programs on bank or credit union premises. There may... ...stakeholders to grow advisory relationships, ensure regulatory compliance, and deliver an exceptional member experience aligned with REV’...
Suggested
For contractors
Cetera Financial Group
Wilmington, NC
3 days ago
Licensed Motor Vehicle Inspector
..., and delivering preventative maintenance services. Job Description Perform multi-point vehicle inspections to ensure compliance with emissions standards and state regulations. Document inspection results and maintain accurate records. Communicate pass...
Suggested
Full time
Local area
Flexible hours
Jiffy Lube
Wilmington, NC
4 days ago
Seeking Experienced Life Insurance Agents/Registered Reps wanting to become Wealth Advisors ***Train
$115.92k
...Authentic If the answer is yes, consider becoming a professional wealth advisor to drive positive impact in the lives of families every... ...securities, agent state law, investment advisory licenses, compliance history, production standards, and required training. # Life...
Suggested
Contract work
New York Life
Wilmington, NC
1 day ago
Compliance Analyst
...those consumers with less than perfect credit. We are seeking a Compliance Analyst to support our Compliance team. Position Summary... ...offerings. Assist the Compliance VP, SVP, and Chief Compliance Officer with other projects and compliance initiatives as needed....
Suggested
Casual work
Work at office
Remote work
Monday to Friday
Continental Finance Company
Wilmington, NC
6 days ago
Trust Officer
...to build a fulfilling career.The Trust Officer coordinates and administers trust accounts... ...and CPAs to ensure proper handling, compliance, and reporting.Working with the internal... ...meetings with Relationship Managers and Wealth Planners to explain the role of BBH as trustee...
Suggested
Full time
Work at office
Local area
Brown Brothers Harriman
Wilmington, NC
4 days ago
LICENSED Hearing Aid Sales Consultant
$60k
...device use and hearing improvement. Must be licensed in the state of North Carolina. This position is based in our Wilmington, NC office. We strive to make a real difference in people's lives and have been around for over 80 years. There is an increased demand for our...
Full time
Work at office
Monday to Friday
Shift work
Night shift
Beltone New England, Carolinas and Virginia
Wilmington, NC
2 days ago
Governance Risk and Compliance Analyst
$64.49k - $105.95k
...region's locally headquartered bank and wealth management company. We are honored to consistently... ...purpose. The Governance, Risk, and Compliance Analyst is responsible for supporting... ...be comfortable working with Microsoft Office, systems, risk platforms, and...
Full time
Work at office
Flexible hours
WSFS Bank
Wilmington, NC
2 days ago
Director of Risk & Compliance Officer
$140k - $165k
Job Title: Director of Risk & Compliance Officer Job Overview: Contemporary Staffing Solutions is seeking a Director of Risk & Compliance Officer to join our client in a role that supports key business operations and contributes to important organizational initiatives...
Contract work
Temporary work
Work at office
Local area
Monday to Friday
Contemporary Staffing Solutions
Wilmington, NC
14 days ago
Compliance Senior Associate, Banking
...your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and... ...laws and serving unique customers. As part of this mission the Office of Fair Lending (OFL) executes a robust program that oversees the...
Work experience placement
Work at office
JPMorgan Chase & Co.
Wilmington, NC
more than 2 months ago
Mission Support Specialist
$50.46k
...within U.S. Customs and Border Protection, Office of Field Operations, Atlanta Field... ...sources, examines documentation. Ensures compliance with applicable regulations and procedures... ...and persons with disabilities possess a wealth of unique talents, experiences, and competencies...
Permanent employment
Full time
Part time
For contractors
Internship
Work at office
Local area
Immediate start
Customs and Border Protection
Wilmington, NC
1 day ago
Remote Data Analyst - Fraud Intelligence
...~4% matching in 401k / RRSP - US and Canada specific ~ MacBook Pro delivered to your door ~ One-time stipend to set up a home office — desk, chair, screen, etc. ~ Monthly meal stipend ~ Monthly social meet-up stipend ~ Annual health and wellness stipend ~...
Remote work
Worldwide
Home office
Flexible hours
GrabJobs
Wilmington, NC
3 days ago
Remote Data Analyst
$5,757 per month
...Services Base Location: AZ or CO Work Status: Virtual Office Minimum Starting Monthly Range: $5,757 Hiring Range (Monthly... ...all applicable laws, regulations, organizational policies, and compliance expectations. Physical Demands The physical demands...
Full time
Part time
Work at office
Local area
Remote work
Work from home
GrabJobs
Wilmington, NC
1 day ago
Junior Data Analyst
The Fountain Group is currently seeking a Junior Data Analyst for a prominent client of ours. This isa Onsite Role in Wilmington, NC 28405. Details for the position are as follows: 100% onsite in Wilmington, NC. 8am - 5pm, M-F Local candidates only Pay Rate - $30 - 34/...
Contract work
Local area
The Fountain Group
Wilmington, NC
1 day ago
Remote Senior Data Analyst
$140k - $170k
...develop and build AI-driven workflows that continuously raise the bar on what our analyst function can do. This is not a pure back-office role — you'll be the bridge between client needs, internal product knowledge, and data-driven outcomes. What You’ll Do Collaborate...
Daily paid
Remote work
Flexible hours
GrabJobs
Wilmington, NC
1 day ago
Licensed Motor Vehicle Inspector
...performing services as a Lube Technician. Job Responsibilities: Perform multi-point Inspection of automotive vehicles to ensure compliance to emission standards and governmental regulations and maintain detailed records of vehicles inspected. Communicate whether...
Full time
Temporary work
Local area
Flexible hours
Premium Velocity Auto LLC
Leland, NC
1 day ago
Reporting Analyst
Job Title: Data Analyst, Digital Enablement Industry: Manufacturing Location: Wilmington, NC Interview Process: Initial phone screen with the hiring manager, followed by a panel interview over Teams Client Overview This company has been making glass, ceramics, and specialty...
ElevaIT Solutions
Wilmington, NC
2 days ago
Principal Project Manager - Hydraulic Modeling
...recognized by the licensing board for the location of the position offered. Example: Professional Engineer (PE or P.Eng) license.MS Office and MS Project experience is required (Access experience would be plus) Demonstrated leadership, business development and strategic...
Contract work
Local area
HDR
Wilmington, NC
1 day ago
Commercial Branch Manager
...and verbal) Strong analytical and business insight and the ability to analyze customer programs for profitability Excellent MS Office skills and able to learn and operate software (AS400, SAP, Paylocity, etc.) Ability to cycle inventory, run reports, and...
Temporary work
Snider Tire Inc
Wilmington, NC
1 day ago
Healthcare Actuary
About Wilmington Health Since 1971, Wilmington Health has been committed to the care and health of our community in Wilmington as well as all of southeastern North Carolina. Wilmington Health is structured as a multi-specialty medical practice with primary care providers...
Contract work
NACBA
Wilmington, NC
3 days ago
Senior Managing Director, Financial Crimes Risk Management
...customer due diligence. The role is pivotal in ensuring regulatory compliance, responsible growth, and alignment with the company's risk... ...management framework. They will also be the designated BSA Officer, accountable for maintaining an effective BSA/AML compliance program...
Confidential
Wilmington, NC
5 days ago
Project Manager - Commercial GC - Local to ILM
$100k - $125k
...private client experience -Ability to read and understand construction documents and contracts -Knowledge and proficiency in MS Office, Project, Procore, Bluebeam -Strong problem-solving and analytical skills -Ability to communicate and plan with engineers,...
Ongoing contract
For contractors
For subcontractor
Local area
Everforth, Cybercoders
Wilmington, NC
2 days ago
Business/Data Analyst - Entry Level
$100k
Since 2010 and almost 14 years SynergisticIT has helped Jobseekers get employed in the tech Job market by providing candidates the requisite skills, experience and technical competence to outperform at interviews and at clients. Post Covid the tech Layoffs have been...
Full time
SynergisticIT
Wilmington, NC
3 days ago
Safety Officer
$56.35k - $76.07k
...Safety Officer New Hanover County is seeking an experienced Safety Officer to join our Risk Management team. In this role, you'll... ...initiatives by developing and implementing safety programs, ensuring compliance with federal and state regulations, provide OSHA and other...
For contractors
Local area
Monday to Friday
New Hanover County, NC
Wilmington, NC
4 days ago
Safety Coordinator
...weekly job-site safety inspections to identify hazards and verify compliance with company policies and regulatory requirements. Identify... ...Environment: This position is approximately 90% field-based and 10% office/administrative work. Candidates should expect to work outdoors...
Work at office
Civil Works Contracting LLC
Wilmington, NC
4 days ago
Entry Level Insurance Agent - Bilingual (Spanish)
...to learn the ropes of the financial service needed for effective wealth management to help our clients achieve their monetary goals.... ...professionals and managers. Our dedicated teams at the General Office and the Corporate Office support our managers and help them impact...
Work at office
New York Life
Wilmington, NC
15 days ago
Senior Trust Relationship Officer, Team Lead - Delaware
...providing the highest level of comprehensive wealth management services, trust... ...that the Greenleaf Trust Delaware is in compliance with the requirements of the State of Delaware... ...Members: Coach and mentor Delaware Trust Officer and team members to ensure each team...
Work at office
Monday to Friday
Night shift
Greenleaf Trust
Wilmington, NC
8 days ago
Commercial Lines Account Manager
...array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services. With over 21,000 employees in 600+ offices throughout North America, HUB has grown substantially, in part due to our industry leading...
Temporary work
Work at office
Local area
HUB International
Wilmington, NC
3 days ago
Financial Representative
...risk protection, financial security, and wealth creation; analyzing needs; and... ...the highest level of integrity regarding compliance with all Company ethics, privacy policies... ...license for the state in which your Agency Office is located; or (b) passed the life and health...
Work at office
Local area
Western & Southern Life
Wilmington, NC
1 day ago
Employee Benefits Financial Analyst
...health, employee benefits, investment and wealth management products and services. With over 21,000 employees in 600+ offices throughout North America, HUB has grown substantially... ...arise Basic understanding of EB compliance requirements. Proficient in assisting...
Temporary work
Work at office
Local area
HUB International
Wilmington, NC
2 days ago
Financial Advisor
$61k - $119k
...that aligns with your long-term vision and goals like opening an office, joining a sophisticated team, or becoming an advanced advisor.... ...broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a...
Full time
Contract work
For contractors
Work at office
Northwestern Mutual Life Insurance Company
Wilmington, NC
1 day ago

Do you want to receive more vacancies?

Subscribe and receive similar vacancies to Compliance Officer - Wealth. Be the first to apply!