Lewis James Professional

Wealth Management Compliance Advisor

Lewis James Professional is a woman-owned staff augmentation, project consulting and direct hire search and placement firm. We are currently seeking a Wealth Management Compliance Advisor for a contract opportunity with a financial services client.

Responsibilities:

  • Support the testing team for the Wealth Management Division.
  • Provide guidance on controls over regulatory requirements and line of business monitoring of those controls, as directed.
  • Identify trends in data produced by lines of business.
  • Conduct compliance risk assessment of new products and initiatives and advise business of compliance risk(s).
  • Support the Proposal Services Team and Client Services Group by responding to inquiries related to due diligence questionnaires, new business inquiries, annual questionnaires and ad-hoc requests.
  • Identify trends in data produced by lines of business.

Qualifications:

  • Undergraduate degree in a related field or an equivalent combination of training and experience.
  • Licenses for FINRA or SEC for brokerage and wealth management- Series 7, or 6.
  • Strong domain expertise in Wealth Management
  • Develop strong understanding of applicable laws and regulations
  • Experience in compliance, legal, or audit
  • Strong proficiency in Microsoft Office Applications
  • Excellent written and verbal communication skills

For immediate consideration, please click “Apply” and use Job Code BHJOB11837_3434. You may also send a copy of your resume to: resumes@lewisjamesprofessional.com and enter only the following job code in the subject line: BHJOB11837_3434. Lewis James Professional is an Equal Opportunity Employer. M/F/D/V