Sign up to access all features of our service.
  • Job search
  • Favorites
  • Create a CV
    New
  • Salaries
  • Subscriptions

Risk & Compliance Lead - Wealth Management

Morgan Stanley

Morgan Stanley is looking for a professional responsible for risk management and compliance functions in Los Angeles. This role involves overseeing all risk and supervisory duties, ensuring compliance with industry regulations, and providing guidance on policies and procedures. Candidates should possess a Bachelor’s degree, relevant industry experience, and must hold active licenses such as Series 7 and 63. Effective communication and strong leadership capabilities are essential. #J-18808-Ljbffr Morgan Stanley

Vacancy posted 15 hours ago
Similar jobs that could be interesting for youBased on the Risk & Compliance Lead - Wealth Management in Los Angeles, CA vacancy
  • $175k - $225k

    LEAD FIDUCIARY COMPLIANCE SPECIALISTWHAT IS THE OPPORTUNITY?The Lead Bank Fiduciary Compliance Specialist...  ...of compliance programs within Wealth Management with specific focus on OCC 12 CFR 9...  ...monitoring compliance activities, supporting risk assessments and testing efforts, and... 
    Suggested
    Work at office
    Remote work

    City National Bank

    Los Angeles, CA
    1 day ago
  • Baker Tilly is seeking a High Net Worth Tax Principal to lead a private wealth practice serving wealthy individuals, families, and private businesses. You will guide complex tax planning and multi-generational strategies while mentoring a team and collaborating with firm... 
    Suggested
    Private practice

    Baker Tilly International

    Los Angeles, CA
    1 day ago
  •  ...seeking a Practice Development Officer in Los Angeles, CA to grow wealth management practices. You will drive client acquisition, retention, and...  ...growth plans, leverage marketing capabilities, and manage lead flow to maximize profitability and client experience. A... 
    Suggested

    Cerity Partners Management LLC

    Los Angeles, CA
    6 hours ago
  • IEQ Capital is seeking a Team Lead to centralize managerial responsibilities within a client...  ...service team, partnering with the Team Manager to manage the coverage team. The role...  ...servicing and relationship management within wealth management. You will mentor associates... 
    Suggested

    IEQ Capital

    Los Angeles, CA
    3 days ago
  • Mercer Advisors in Woodland Hills, CA is seeking a Relationship Manager I to elevate client service across the Wealth Management team and partner with Wealth Advisors to ensure precise, consistent delivery of commitments. You will help manage client experiences, support... 
    Suggested

    Mercer Advisors

    Los Angeles, CA
    3 days ago
  • Certus Recruitment Group is seeking an advisory expert to manage high-value relationships with Ultra High Net Worth individuals. This role...  .... The successful candidate will possess strong connections in wealth management and demonstrate a proven track record in managing HNW... 

    Certus Recruitment Group

    Los Angeles, CA
    15 hours ago
  • MAI Capital Management, LLC. is seeking a Senior Advisory Associate in Los Angeles to serve as the primary relationship lead for Ultra-High Net Worth clients. The role emphasizes efficient...  ...have over 5 years of experience in wealth management or financial services, strong... 
    Work at office

    MAI Capital Management, LLC.

    Los Angeles, CA
    4 days ago
  • IEQ Capital is seeking a Team Lead to centralize client service management within a high-touch wealth management team in Santa Monica. The role supports the Team Manager, mentors Associates and Senior Associates, and coordinates day-to-day operations to optimize service... 

    IEQ Capital

    Santa Monica, CA
    2 days ago
  • Morgan Stanley in the United States is seeking a Risk Officer to oversee risk, supervisory, and compliance functions across branch locations, reporting...  ...ethics, adherence to laws, and proactive risk management within Wealth Management. Responsibilities include guiding... 

    Morgan Stanley

    Beverly Hills, CA
    3 days ago
  • Mercer Advisors in Woodland Hills, CA is seeking a Relationship Manager I to elevate service delivery across the Wealth Management team. You will partner with Wealth Advisors to implement client commitments with precision and care, overseeing the firm’s service model and... 

    Mercer-Advisors

    Los Angeles, CA
    15 hours ago
  •  ...Advisor seeking to transform traditional wealth management. Our quest is to integrate the...  ...larger organizations. The Role The Team Lead role is designed to centralize managerial...  ...improvement and development and mitigates risks and potential issues. Team Leads will tactically... 

    IEQ Capital

    Santa Monica, CA
    2 days ago
  • Citi Wealth at Work is seeking an Investment Counselor Senior Vice President in Los Angeles to serve High Net Worth and Ultra High Net Worth clients with sophisticated investment strategies and private banking services. The role focuses on building trusted advisory relationships... 

    Itlearn360

    Los Angeles, CA
    1 day ago
  • Cerity Partners Management LLC is seeking a Wealth Advisor in Los Angeles to serve as a key relationship manager and develop personalized wealth planning...  ...strategies. This role involves onboarding new clients, leading client meetings, collaborating across departments, and... 
    Flexible hours

    Cerity Partners Management LLC

    Los Angeles, CA
    1 day ago
  • $106.2k - $157.2k

    Sunflower Financial Inc. is seeking a full-time Wealth Management Advisor II for our Los Angeles, CA location. This role requires collaborating to maintain a high-net-worth client base and managing client portfolios. Competitive salary between $106,200 to $157,200 based... 
    Full time

    Sunflower Financial Inc.

    Los Angeles, CA
    2 days ago
  •  ...President to join its client relationship team, delivering world‑class wealth and investment guidance to ultra‑high‑net‑worth clients. The VP...  ...to meet deadlines. Requires 5-7+ years in investment/wealth management and willingness to travel for client #J-18808-Ljbffr... 

    Scsfinancial

    Los Angeles, CA
    15 hours ago
  • $116k - $145k

    Job Summary Lead Analyst - Technology Strategy, Planning & Risk Location: Chicago, California, New York, Washington Division: Ticketmaster NA Line Manager: Senior Director - Technology Strategy Contract...  ...sick time, and personal days WEALTH: 401(k) program with company match... 
    Full time
    Contract work
    Local area
    Flexible hours

    Ticketmaster

    Los Angeles, CA
    4 days ago
  • $200.72k - $301.08k

    Wealth at Work - Investment Counselor Sr. Lead - Senior Vice President at Citigroup. Los Angeles...  ..., accountants, asset managers and management professionals...  .... Appropriately assess risk when business decisions...  ...and assets, by driving compliance with applicable laws, rules... 
    Full time

    Itlearn360

    Los Angeles, CA
    1 day ago
  •  ...advice and tailored financial solutions to meet their complex wealth management needs. The ideal candidate will possess exceptional...  ...selling skills, strong negotiation abilities, and a deep understanding of compliance within the financial sector. #J-18808-Ljbffr... 

    Citigroup Inc.

    Los Angeles, CA
    15 hours ago
  • Southern California Edison (SCE) is hiring a Principal Manager Governance, Compliance & Controls to lead governance, risk, compliance, controls, affordability, and operational intelligence for Digital Grid Services. You will implement management systems, scorecards, and... 

    Southern California Edison (SCE)

    Rosemead, CA
    4 days ago
  • DAFgiving360 Charitable Consulting is seeking a Senior Relationship Director to drive long-term growth, manage advisor and family office relationships, and deliver timely charitable planning education to partners and high-net-worth clients in the U.S. Reporting to the... 
    Work at office

    Charles Schwab

    Los Angeles, CA
    4 days ago
  • Morgan Stanley Wealth Management is seeking a Risk Officer to oversee risk, compliance, and supervisory functions across branch locations. The role collaborates with the Senior Risk Officer to maintain a compliant environment, guided by SEC/FINRA regulations and internal... 

    Socket.dev

    Santa Monica, CA
    1 day ago
  •  ...credibility by understanding adviser operations, not just software. The role is hybrid with 3 days/week in Dallas or Culver City offices; you’ll partner across Sales, CS, Operations, Product, Engineering, and Compliance to accelerate time-to-value for #J-18808-Ljbffr Altruist
    3 days per week

    Altruist

    Los Angeles, CA
    4 days ago
  • Brighton Jones in Los Angeles seeks an Advisor to manage day-to-day client service teams, providing analytical, operational and administrative...  ...acquisition, implementation and retention of clients. You will lead client meetings, review portfolios, and develop strategies in... 

    Brightonjones

    Los Angeles, CA
    3 days ago
  • $200k - $220k

     ...looking for a Dentist- Oral Health Quality Lead to ensure high-quality dental services and compliance in all clinics. The role demands a DDS/DMD,...  ...leadership skills. Responsibilities include managing quality assurance and risk compliance, as well as providing... 

    St. John’s Community Health

    Los Angeles, CA
    15 hours ago
  • District Partners is recruiting for a Client Acquisition Manager to bridge Marketing and Business Development, transforming digital interest...  ...with high-net-worth individuals. You will research inbound leads, evaluate fit against the ICP, and connect prospects with the right... 

    District Partners

    Los Angeles, CA
    1 day ago
  • $100k - $150k

     ...ongoing control maturity efforts. Lead preparation and responses for...  ...accurate, consistent, and risk‑aligned responses. Track...  ...similar GRC platforms for audit management, issue tracking, and evidence...  ...Information Security, Systems, Risk, Compliance, or a related field. 6-8... 
    2 days per week
    3 days per week

    YDU JC Air Cond & Ref Inc.- Dubai

    Glendale, CA
    4 days ago
  • $182.7k - $339.3k

    M&T Bank Corporation is looking for a manager in wealth management to lead and develop client relationships in Los Angeles, California. Candidates...  ...of $182,700.00-$339,300.00 annually and emphasizes compliance with risk standards. An MBA or similar certification is... 

    M&T Bank Corporation

    Los Angeles, CA
    4 days ago
  • Jobtailor in Los Angeles seeks an experienced vendor risk manager to oversee vendor performance, compliance, and risk reporting to senior management. You will help develop risk mitigation strategies and drive audits with internal teams and vendors. The role requires a... 

    Jobtailor

    Los Angeles, CA
    3 days ago
  •  ...seeking an experienced Private Banker to join our team in Los Angeles. This role focuses on advising clients in building and managing their wealth with a client-centric approach. You will utilize your expertise in financial planning, investments, and banking to deliver... 

    Aumni

    Los Angeles, CA
    1 day ago
  • Regal Executive Search is seeking a Corporate Audit Director to oversee the US auditing team’s daily operations and develop comprehensive audit strategies. The successful candidate, ideally with 15+ years of experience and managerial expertise, will play a pivotal role ...

    Regal Executive Search

    Los Angeles, CA
    4 days ago

Do you want to receive more vacancies?

Subscribe and receive similar vacancies to Risk & Compliance Lead - Wealth Management. Be the first to apply!