Lewis James Professional

Wealth Management Compliance Lead  

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 Lead  for a direct hire opportunity with a financial services client.


  • Manage a team of 4 – 10 Supervisors.
  • Perform escalated review of complex transactions identified by the Supervision Team.
  • Electronic Correspondence/Social Media Review of direct reports and as needed in support of the department.
  • Effectively communicate policy and procedure changes to the team and serve as Subject Matter Expert for policy changes.
  • Assist with focused Book of Business reviews conducted by partners within the firm.
  • Review Reg BI advisor documentation per current policies and procedures to ensure compliance with regulation.
  • Serve as primary escalation point of contact for Principal Managers and Business Partners with regard to Supervisory activities.
  • Participate in meetings and calls, representing the Supervision Team when discussing Policies, Products, Systems, and other items that impact the department and our processes.
  • Serve as Supervision representative on firm initiatives.


  • Experience in FINRA Series 7, 24, 53 and 66 licenses (Series 9&10 can be used in lieu of 53. Series 63&65 can be used in lieu of Series 66) Life/Health and Variable Insurance Licensing.
  • 7 years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance.
  • Must have exceptional industry disciplinary history.
  • Strong written and verbal communication skills with demonstrated ability present ideas effectively to a group.
  • Solid decision-making and judgment capabilities. Sound investigative skills and ability to follow up and manage cases.
  • Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations.
  • Strong organizational skills and the ability to multi-task.
  • Strong understanding of Human Resources.
  • Strong team building skills.

Preferred Qualifications:

  • Bachelor’s degree in Finance or Business.
  • Minimum 2 years of regulatory experience FINRA Series 4 license.

For immediate consideration, please click “Apply” and use Job Code BHJOB11837_2685. 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_2685. Lewis James Professional is an Equal Opportunity Employer. M/F/D/V