Asset and Wealth Management - Regulatory Reporting Specialist - Director
$134k - $348.5kPRICE WATERHOUSE COOPERS
The Opportunity As an Asset and Wealth Management - Regulatory Reporting Specialist - Director, you will play a pivotal role in guiding clients through complex regulatory landscapes, enhancing their internal controls, and mitigating risks effectively. Within our Assurance practice, you will focus on confirming adherence to regulatory requirements and providing strategic guidance on compliance strategies. As a Director, you will set the strategic direction and lead business development efforts, making impactful decisions and overseeing multiple projects while maintaining executive-level client relations. Your role is crucial in driving business growth, shaping client engagements, and mentoring the next generation of leaders. In this role at PwC, you will cultivate potential in others and actively collaborate across the PwC Network, leveraging our collective strength to maximize client satisfaction. You will develop new ideas and solutions, promote technological advances, and create an environment where people and technology thrive together. By identifying gaps in the market, you will convert opportunities into success for the firm, all while upholding PwC's reputation for quality, integrity, and inclusion. Responsibilities Leading regulatory compliance initiatives to help clients navigate complex regulatory landscapes Developing and implementing compliance strategies to mitigate risks effectively Overseeing the preparation and submission of regulatory reports in alignment with industry standards Providing guidance on anti-money laundering and financial crime prevention measures Conducting compliance audits and reviews to validate adherence to regulatory requirements Collaborating with clients to enhance internal controls and governance frameworks Promoting innovation and technological advances in compliance processes Mentoring and coaching team members to cultivate their potential and drive business growth Building and maintaining executive-level client relationships to support strategic direction Identifying market opportunities and converting them into successful engagements for the firm What You Must Have At least a Bachelor's degree At least 8 years of experience What Sets You Apart Demonstrating proficiency in Regulatory Reporting within Asset and Wealth Management Utilizing Anti-Money Laundering Compliance knowledge to enhance client engagements Implementing Compliance Program strategies to drive business growth Promoting technological advances in Regulatory Risk Compliance frameworks Cultivating potential through mentoring and leadership in client support Translating strategic vision into actionable business development initiatives Excelling in Governance Risk Compliance (GRC) to maintain industry standards The salary range for this position is: $134,000 - $348,500. For residents of Washington state the salary range for this position is: $134,000 - $410,000. Actual compensation within the range will be dependent upon the individual's skills, experience, qualifications and location, and applicable employment laws. All hired individuals are eligible for an annual discretionary bonus. PwC offers a wide range of benefits, including medical, dental, vision, 401k, holiday pay, vacation, personal and family sick leave, and more. To view our benefits at a glance, please visit As PwC is an equal opportunity employer, all qualified applicants will receive consideration for employment at PwC without regard to race; color; religion; national origin; sex (including pregnancy, sexual orientation, and gender identity); age; disability; genetic information (including family medical history); veteran, marital, or citizenship status; or, any other status protected by law. PwC does not intend to hire experienced or entry level job seekers who will need, now or in the future, PwC sponsorship through the H-1B lottery, except as set forth within the following policy: Learn more about how we work: For only those qualified applicants that are impacted by the Los Angeles County Fair Chance Ordinance for Employers, the Los Angeles' Fair Chance Initiative for Hiring Ordinance, the San Francisco Fair Chance Ordinance, San Diego County Fair Chance Ordinance, and the California Fair Chance Act, where applicable, arrest or conviction records will be considered for Employment in accordance with these laws. At PwC, we recognize that conviction records may have a direct, adverse, and negative relationship to responsibilities such as accessing sensitive company or customer information, handling proprietary assets, or collaborating closely with team members. We evaluate these factors thoughtfully to establish a secure and trusted workplace for all. #J-18808-Ljbffr PRICE WATERHOUSE COOPERS
$134k - $348.5k
PRICE WATERHOUSE COOPERS is seeking an Asset and Wealth Management - Regulatory Reporting Specialist - Director in Los Angeles. This role is pivotal in guiding clients through complex regulatory landscapes and enhancing their risk management strategies. Responsibilities...Asset$116.2k - $212.9k
...dynamic new entrants across Banking and Capital Markets, Wealth and Asset Management, Insurance, and Real Estate, Hospitality and Construction.... ...in firm in-house trainings Ability to analyze trading reports for tax character and book tax differences, such as wash sales...AssetWork experience placementSummer holidayLocal areaFlexible hours$77k - $214k
...Specialty/Competency: Industry Tax Practice Industry/Sector: Asset and Wealth Management Time Type: Full time Travel Requirements: Up to 20% At PwC, our people in tax services focus on providing advice and guidance to clients on tax planning, compliance, and strategy...AssetFull timeH1b$124k - $335k
.../Competency: Industry Tax Practice Industry/Sector: Asset and Wealth Management Time Type: Full time Travel Requirements: Up to 2... ...with diverse teams to address operational tax risks and regulatory compliance Developing and maintaining client relationships...AssetFull timeH1bLocal area$124k - $335k
...Specialty/Competency: Industry Tax Practice Industry/Sector: Asset and Wealth Management Time Type: Full time Travel Requirements: Up to 20% A career in our Financial Services Tax practice, within Corporate Tax services, will provide you with the opportunity to...AssetFull timeH1bLocal areaOverseas$150k
...Specialty/Competency: Industry Tax Practice Industry/Sector: Asset and Wealth Management Time Type: Full time Travel Requirements: Up to 20%... ...progress in our careers, now and in the future. As a Director, you'll work as part of a team of problem solvers, helping...AssetFull timeH1bLocal areaOverseas$99k - $266k
...Specialty/Competency: Industry Tax Practice Industry/Sector: Asset and Wealth Management Time Type: Full time Travel Requirements: Up to 40% At PwC, our people in tax services focus on providing advice and guidance to clients on tax planning, compliance, and strategy...AssetFull timeH1b$102.1k - $187k
...build a better working world. Tax Services Manager - Financial Services Office - Customer Tax Operations and Reporting (CTOR) EY is a leader in serving the... ...entrants across Banking and Capital Markets, Wealth and Asset Management, Insurance, and Real Estate, Hospitality...AssetSummer holidayWork at officeRemote workFlexible hours- A leading wealth management firm in Los Angeles is looking for a Senior Vice President, Financial Advisor to play a key role in regional expansion... ...potential ranging from $500,000 to over $1,000,000 based on production and asset growth. #J-18808-Ljbffr The Rogan Group, IncAsset
$60k - $125k
The Goldman Sachs Group is seeking a Wealth Management Professional in Los Angeles, California. This role requires a Bachelor's degree and 1... ...manage relationships with ultra-high net worth clients, oversee asset management, and ensure a top-notch client experience....Asset- NorthCoast Asset Management is seeking a Wealth Advisor, Vice President to join our Los Angeles office. This position involves managing a book of high-net-worth clients without sourcing new clients, leveraging leads developed by the firm. The ideal candidate will have...AssetWork at office
- Cerity Partners Management LLC is seeking a Wealth Advisor in Los Angeles to serve as a key relationship manager and develop personalized wealth planning... ...ensuring exceptional client experiences while growing assets under management. The ideal candidate has a Bachelor’s...AssetFlexible hours
- ...investment advisor with $96 billion in assets under management, has hired Melissa Nims, a former... ...two decades, most recently as managing director and chief operating officer of investment... ...In her new role, she’ll lead Mercer’s wealth solutions platform, which includes tax...AssetImmediate start
- PathStone Capital, a leading independent wealth management firm in Los Angeles, is seeking a Vice President, Global Regions to drive international... ...will have experience in cross-border wealth advisory and asset allocation, focusing on UHNW individuals and families. This...AssetRemote jobFull time
- NorthCoast Asset Management is seeking a Wealth Advisor, Vice President to join their Los Angeles office and manage a book of high-net-worth clients. This position requires a minimum of 5 years of experience and a CFP designation. The role focuses on driving revenue growth...AssetWork at office
$175k - $225k
...financial solutions through our Wealth Management, Investment Banking & Capital Markets, and Multi Asset Clearing and Prime services... ...Program. This position reports directly to the Chief Compliance... ...current industry best practices, regulatory guidance and requirements....AssetWork at officeLocal areaFlexible hours$116.2k - $212.9k
...with a range of clients from our most venerable institutions to dynamic new entrants across Banking and Capital Markets, Wealth and Asset Management, Insurance, and Real Estate, Hospitality and Construction. Our purpose is to help build a financial services industry in...AssetSummer holidayFlexible hours- Sunflower Bank Mortgage Lending in Los Angeles, CA is seeking a Wealth Management Advisor II to manage high-net-worth client portfolios while collaborating with Managing Directors. This full-time role involves asset allocation, investment strategy, and financial planning...AssetFull time
$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... ...the benefits of allocating to this new asset class. You will be based in either...AssetAfternoon shift- ...Senior Wealth Advisor About the Company Respected wealth management firm Industry Financial Services Type Privately Held About the Role The... ...also be instrumental in expanding the company's assets under management (AUM) and developing new client...Asset
$200k
NorthCoast Asset Management is an active investment management firm founded in 1988 and based in Stamford, Connecticut with over $5 billion... ...Position Summary NorthCoast Asset Management is looking for a Wealth Advisor, Vice President to join our LA office and inherit a...AssetWork at officeLocal area- ...Executive Director, Lending Specialist The J.P. Morgan Wealth Management (USWM) business is focused on helping investors achieve... ...business has ~$600 billion in Assets Under Management and ~5,000... ...lending products, market trends, and regulatory requirements to serve as a...Asset
$68k - $120k
...Financial Advisor / Private Wealth Advisor Team. As part of the... ...for enhancing team capacity, managing the client service model, ensuring... ...tracking the acquisition of assets, growth, and performance of... ...oversight of policies, procedures, reporting and performance metrics via...AssetTemporary workWork experience placementLocal area- ...Registered Investment Advisor seeking to transform traditional wealth management. Our quest is to integrate the Intellectual and... ...follow‑up communication Construct client performance and asset allocation reports Collaborate with team members to provide exceptional customer...AssetWork experience placementFlexible hours
- ...Manhattan West") is seeking a Wealth Advisor to join our Private... ...investments across multiple asset classes including Private Equity... ...well as comprehensive wealth management services to a global client... ...with both company policies and regulatory obligations imposed as a...AssetLocal area
- ...assessments with current and potential wealth customers and recommend... ...objectives, risk tolerance and proper asset allocations. Represent the company... ...market developments, and of external regulatory framework relevant to wealth management. Foreign language skills, such as...AssetLocal area
$200k - $300k
Citi Global Wealth brings together the full power of Citi to serve the entire continuum of... ...® Private Client, and captures wealth management in the workplace through Citi Global Wealth... ...to be a partner to lawyers, accountants, asset managers and management professionals with...AssetFull time$200k
NorthCoast Asset Management is a data-driven investment firm specializing in dynamic, risk-managed equity and income strategies for high-net... ...Summary NorthCoast Asset Management is looking for a Wealth Advisor, Vice President to join our LA office and inherit a book...AssetWork at office- ...Product Specialist The Client Specialist is a sophisticated wealth expert that focuses on holistically addressing the wealth... ...extensive experience in wealth management and effectively introduces... ...serve their needs Generate new assets under management through a...Asset
$68k - $120k
...Financial Advisors (FAs), Private Wealth Advisors (PWAs), and their... ...senior service level position manages all business operations and oversees... ...results, including tracking asset acquisition, growth, and... ...motivated, and results‑driven. Reports To Business Service Officer and...AssetWork experience placement
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Asset and Wealth Management - Regulatory Reporting Specialist - Director. Be the first to apply!
- regulatory officer Los Angeles, CA
- regulatory affairs specialist Los Angeles, CA
- information security compliance analyst Los Angeles, CA
- regulatory compliance specialist Los Angeles, CA
- compliance coordinator Los Angeles, CA
- compliance consultant Los Angeles, CA
- senior compliance analyst Los Angeles, CA
- regulatory affairs consultant Los Angeles, CA
- healthcare compliance officer Los Angeles, CA
- risk and compliance analyst Los Angeles, CA


