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
- 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...Suggested
$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...SuggestedFull time$180k - $225k
Fiduciary Trust International is seeking a Wealth Director in Los Angeles to pursue new business with high-net-worth individuals and families. The role emphasizes client relationship management and sales success within the financial services sector. The ideal candidate...Suggested$134k - $348.5k
...Industry/Sector: Asset and Wealth Management Time Type: Full time Travel... ...internal controls, and mitigating risks effectively. Within our... ...providing strategic guidance on compliance strategies. As a Director,... ...the strategic direction and lead business development efforts...SuggestedFull timeH1b$200.72k - $301.08k
...Investment counselors joining Citi Wealth will be distinguished and... ...establishing, growing, and managing investment relationships. They... .... Appropriately assess risk when business decisions are made... ...clients and assets, by driving compliance with applicable laws, rules and...Suggested$120k - $200k
LEAD FIDUCIARY COMPLIANCE SPECIALIST WHAT IS THE OPPORTUNITY? The Lead Fiduciary Compliance Specialist... ...of compliance programs within Wealth Management. This role partners closely with Compliance... ...compliance activities, supporting risk assessments and testing efforts, and...Work at officeRemote work$185k - $300k
...Custom Credit Banker Wealth & Investment Management (WIM) is one of the United States' leading providers of financial and investment... ...to deals to Independent Risk Management, along with underwriting... ...Investment Advisory business. Compliance with state law registration and...Ongoing contractWork experience placementImmediate start- Masterworks is looking for a Managing Director to lead a private wealth team in Beverly Hills. This role involves managing financial advisors and facilitating client events at an art gallery showcasing works from renowned artists. Ideal candidates have over 10 years in...
$125.4k - $181.88k
Position Overview The Senior Private Wealth Advisor, Practice Lead plays a vital role in helping high net... ...financial planning, and investor education. Manage relationships through phone, email,... ...strategies aligned with clients’ risk tolerance and objectives, engaging clients...16 hoursTemporary workWork experience placementCasual workPrivate practiceLocal area- ...objective is to empower people to manage their own health with improved outcomes... ...require evidence of a credible compliance program before they sign. The GRC Lead makes that evidence real. This... ...and controls ~ Own the risk register: document identified risks...Remote workWorldwideFlexible hoursAfternoon shiftWeekday work
$135k - $150k
...and leverage the power of our 300+ venues, leading sports franchises, marquee music brands, integrated... ...continuous improvement of AEG's Governance, Risk, and Compliance program, with broad ownership across enterprise risk management, third-party risk management, compliance,...Full timeWork experience placementLocal areaFlexible hours- ...Governance Specialist II in Los Angeles. This role involves leading compliance services to protect and manage client information through its lifecycle. The ideal... ...in information governance, a strong background in risk management, and excellent communication skills. The...
$75k - $95k
...Vendor Relations Supervisor will lead a dynamic team responsible... ...vendor relations, and vendor compliance. Reporting directly to the... ...partnerships, overseeing category management, ensuring product safety and... ..., control costs, mitigate risks, and ensure compliance with standards...Work at officeLocal area- Cybersecurity Reporting & Analytics Lead Our cybersecurity organization is seeking... ...that improve decision-making, risk visibility, compliance tracking, and service execution across... ...activities, authorization lifecycle management, continuous monitoring, POA&M tracking...Temporary workFlexible hours
- Koitecc Solutions in Los Angeles is seeking a GRC Lead to drive the execution and continuous improvement of the Governance, Risk, and Compliance program. This role demands broad ownership across enterprise risk management and compliance, partnering with various...
- Mercer-Advisors is seeking a Relationship Manager I in Los Angeles, CA to ensure service excellence across Wealth Management. This strategic, client-facing role partners with Wealth Advisors to oversee service delivery and enhance client experiences. The position offers...
- ...Assistant Director in the Information Security Portfolio Compliance Enablement function to ensure compliance with... ...You will work with global teams to strengthen EY's risk posture through effective compliance management. The ideal candidate should have 8+ years in Cyber...Flexible hours
$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...$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 week3 days per week$115k - $160k
...America is seeking a Market Client Relationship Manager in Los Angeles to lead the service delivery model and support... ...role requires a strong background in Merrill Wealth Management and expertise in regulatory compliance. Responsibilities include managing a diverse...$300k
...Managing Director Opportunity At Masterworks Advisers Masterworks Advisers is a Registered... ...for: Launching a private wealth team of 2-4 advisors within your city... ...Basquiat, and others rotating through it Leading and attending an event every evening, from...Afternoon shift$70k - $80k
...Job Description Job Description Risk Analyst Lead Location: Los Angeles, CA Job Type... ...through, and documentation. BSA/AML/Compliance, as needed, to escalate and address suspicious... ...Ability to multitask, prioritize, and manage projects to completion within deadlines...Full timeWork at officeLocal areaRemote workFlexible hours- ...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...
- A leading investment firm is seeking a Wealth Director to focus on business development in Los Angeles, California. This role involves securing new business from high-net-worth individuals and institutions, leading business strategies, and maintaining client relationships...
$300k
Role Overview As a Managing Director for Masterworks Advisers, you will be responsible for: Launching a private wealth team of 2-4 advisors within your city Overseeing an art gallery... ..., and others rotating through it Leading and attending an event every evening, from...Afternoon shift- Edisonrefertalent is looking for a Privacy Compliance Advisor to serve as a subject matter expert in customer... ...at Southern California Edison. This role involves leading the development of privacy policies, conducting risk assessments, and ensuring compliance with privacy...Remote work
- J.P. Morgan Wealth Management - Vice President - Private Wealth Planner, Planning Specialist job... ...educational, and philanthropic planning, risk management, and asset allocation.... ...or program entries. About Us Chase is a leading financial services firm, helping nearly...Work at office
- ...Property Risk Consultant We are seeking a talented individual to join our team at Marsh... ...advise client companies on risk management strategies, use data to help them to optimize... ...exposure. A Senior Risk Consulting Engagement Lead is a recognized subject matter expert,...
- ...Property Risk Consultant We are seeking a talented individual to join our team at Marsh... ...advise client companies on risk management strategies, use data to help them to optimize... ...exposure. A Senior Risk Consulting Engagement Lead is a recognized subject matter expert,...Minimum wage
$124.74k - $254.5k
...number one priority. With a wealth of learning and career development... ...class training facility, and leading market tools, we help our... ...Solution Architect to join our KPMG Managed Services practice.... ...information regarding KPMG's compliance with federal, state and local...Full timeH1bLocal area
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Risk & Compliance Lead - Wealth Management. Be the first to apply!
- antepartum high risk ob nurse Los Angeles, CA
- risk underwriter Los Angeles, CA
- technology risk Los Angeles, CA
- risk assurance Los Angeles, CA
- geopolitical risk Los Angeles, CA
- risk and compliance analyst Los Angeles, CA
- risk compliance Los Angeles, CA
- risk management intern Los Angeles, CA
- vp risk management Los Angeles, CA
- risk management coordinator Los Angeles, CA



