Compliance Officer - Wealth
$92.87k - $152.57kFull-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:
$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 us.fitly.work. 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.
- 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.
- 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.
$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 us.fitly.work. 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.
Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the Compliance Officer - Wealth in Delaware, OH vacancy
- ...lifetime or upon their death through a provision in their will, it is the Trust Officer's role to oversee the administration of the trust. Job Summary As a Trust Officer VP in Wealth Management Solutions, Trust & Estates, you will be an integral part of our Global...Suggested
JPMorgan Chase & Co.
Delaware, OHmore than 2 months ago - Corient Private Wealth LLC. in Columbus, OH is seeking a Client Reporting Specialist responsible for managing client reporting templates and executing reporting processes. Ideal candidates will have 3-5 years of experience in client or investment reporting and proficiency...Suggested
- As part of Wealth Management Executive Office, you are at the center of keeping JP Morgan Chase strong and resilient. The successful candidate in this position will join a team of Wealth Management Executive Office Investigators from a diverse range of backgrounds and...SuggestedWork at office
$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...SuggestedContract workTemporary workWork at officeLocal areaMonday to FridayContemporary Staffing Solutions
Delaware, OH14 days ago$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...SuggestedFull timeWork at officeFlexible hoursWSFS Bank
Delaware, OH3 days ago- Join us to build the next generation of sales effectiveness in wealth management, where data, behavioral science, and artificial intelligence (AI) turn insight into advisor action. Shape and scale capabilities that help advisors connect with the right clients at the right...
- ...Chief Executive Officer (CEO), Wealth Management About the Company Confidential wealth management operating company division. Industry... ...have a clear focus on client satisfaction and regulatory compliance. A strategic mindset, the ability to identify and...
- Job Description We are looking for a talented and energetic professional to join our J.P. Morgan Wealth Management Lending Solutions Team. If you operate with a growth mindset and are motivated and inspired to deliver exceptional service to advisors and clients, this could...
$71k - $125k
...Atlanta, GA Full time R-38450 Location: 4910 Tiedeman Road, Brooklyn Ohio About the Job The Home Lending Compliance Officer will be a member of the Home Lending Compliance team within Compliance Risk Management. They will provide support to the Mortgage...Full timeWork at officeFlexible hoursKey Bank
Columbus, OH5 days ago- ...Compliance OfficerDo you have a strong understanding of regulations and a passion for ensuring an organization operates ethically? If so, then a career as a compliance officer might be a perfect fit for you!As a compliance officer, you'll be responsible for developing...
Educational Solutions Company
Columbus, OH2 days ago - ...your expertise to JPMorganChase. As part of Risk Management and Compliance, you are at the center of keeping the firm strong and resilient... ...supporting Latin America and Global Families within Asset & Wealth Management, you will provide senior credit risk oversight for a...
$100.35k - $205k
...of taxation? Do you excel at delivering compliance and consulting services to individual clients and their trusts, estates, family offices, investment vehicles, charitable pursuits... ...a career with Deloitte’s growing Private Wealth practice! Recruiting for this role ends on...Private practiceWork at officeLocal area$65k - $72k
A leading wealth management firm in Columbus, Ohio, seeks a skilled professional to analyze client financial information and prepare tailored financial plans. You will support the Wealth Planning Team, collaborating to meet client objectives. Required qualifications include...- ...families to enjoy a full life, while enabling them to preserve their wealth for future generations, and provide for the people, causes and... ...Minimum of 2-3 years’ experience Proficiency in Microsoft Office, especially Excel Strong integrity and ability to maintain confidentiality...Permanent employmentTemporary workWork at officeFlexible hours
- ...Job Description Global Financial Crimes Compliance (GFCC) is part of JPMorganChase's Compliance, Conduct and Operational Risk (CCOR) organization and operates as an independent second line of defense. GFCC helps safeguard the firm, its clients, and the global financial...
JPMorgan Chase & Co.
Delaware, OH7 days ago - ...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....Casual workWork at officeRemote workMonday to Friday
Continental Finance Company
Delaware, OH7 days ago - Join J.P. Morgan, a leader in asset and wealth management with over 200 years of expertise. Be part of a collaborative team where your unique perspective promotes innovation. Benefit from training, mentorship, and engaging projects in our nine-week program. Work with top...Full timeImmediate startVisa sponsorship
$65k - $72k
...families to enjoy a full life, while enabling them to preserve their wealth for future generations, and provide for the people, causes and... ...This position requires the physical capabilities to work in an office environment, which may include prolonged periods of sitting at a...Permanent employmentTemporary workWork at officeFlexible hours- JPMorgan Chase in Columbus, OH is seeking a Lending Analyst to join the Wealth Management Lending Solutions team. You will partner with senior Lending Specialists to provide business support, data insights, and client-advisor engagement opportunities while helping with...
- ...your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and... ...priorities, tools, and business needs. ~ Proficient in other MS Office applications (Outlook/Word/PowerPoint). Preferred...
JPMorgan Chase & Co.
Delaware, OH10 days ago - ...the Geriatrics Fellowship in coordination with the DME, DIO and Office of Medical Education. The Program Director (PD) is responsible... ...Medicine requirements. Responsible to the DME & DIO, for ensuring compliance with the policies and procedures of Beebe Healthcare, the...Contract workFreelanceWork at officeLocal area
Beebe Healthcare
Delaware, OH4 days ago - ..., OH to manage payer enrollment and credentialing for licensed professionals. You will collaborate with internal teams to ensure compliance and maintain high standards of patient safety. The role requires 2+ years of credentialing experience, strong attention to detail...
AndHealth
Columbus, OH4 days ago - ...management, project management, governance, metrics reporting, or compliance. Ability to work with multiple stakeholders across... ...meet deadlines across multiple assignments, proficiency with MS Office, and flexibility to work shifts. Preferred Qualifications...Local areaVisa sponsorshipShift work
JPMorgan Chase & Co.
Delaware, OH13 days ago - ...Investment Professional At J.P. Morgan Wealth Management, we have an enthusiasm for... ...active Series 7 and Series 63 Strong compliance record in prior position(s) and ability... ...environment, where team members work in the office three days a week and work remote two...Work at officeLocal areaRemote workMonday to Friday3 days per week
- ...collaborate with internal teams and external partners to ensure compliance and uphold the highest standards of quality and patient safety.... ...and written communication skills. ~ Proficiency in Microsoft Office, Google Workspace and utilizing credentialing software and...Full timeTemporary workWork at office
AndHealth
Columbus, OH2 days ago $23.85 - $28.02 per hour
...to manage deadlines within a fast-paced, high-volume environment is requiredThe ability to operate in an Internet-based, automated office environment is requiredThe ability to maintain a high-speed internet connection is requiredEnjoy a great work environment with an excellent...Hourly payWork at officeLocal areaIntegrated Services of Appalachian Ohio
Columbus, OH1 day ago- ...credentialing processes for licensed healthcare professionals. You will collaborate with internal teams and external partners to ensure compliance, accuracy, and high-quality patient care. Responsibilities include leading enrollment activities, tracking statuses, preparing...
AndHealth LLC
Columbus, OH4 days ago - JPMorgan Chase & Co. in the United States offers a nine-week Asset & Wealth Management Risk Full Time Analyst Program designed to train next-generation risk professionals. You will work with industry experts to identify, assess, and manage risks facing the Bank and clients...Full time
- JPMorgan Chase & Co. is seeking a Risk Strategy & Execution Senior Associate within Risk Management and Compliance, part of the Asset Wealth Management line of business. You will support risk management activities across Wealth Management, including risk reporting, governance...
- Corient Private Wealth LLC. is seeking an Associate Wealth Advisor to support the Wealth Advisor in delivering exceptional client services and to progress toward independent client execution. The role involves assisting in financial planning, portfolio allocations, and...
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Compliance Officer - Wealth. Be the first to apply!
Related searches
- compliance analyst Delaware, OH
- regulatory compliance specialist Delaware, OH
- regulatory affairs specialist Delaware, OH
- regulatory compliance associate Delaware, OH
- compliance specialist Delaware, OH
- coding compliance specialist Delaware, OH
- compliance consultant Delaware, OH
- compliance associate Delaware, OH
- aml compliance analyst Delaware, OH
- healthcare compliance officer Delaware, OH