Strategic Compliance Director
8 hours ago
At ZLC Wealth Inc., we're seeking an experienced Strategic Compliance Director to join our team. This role will play a pivotal part in supporting the President of ZLC Wealth and driving all aspects of the Compliance Division forward.
About the RoleThis strategic position will focus on automating procedures, reviewing compliance regulations, and collaborating with Advisors to address compliance issues. The successful candidate will report to the President/Chief Compliance Officer and work closely with the team to maintain and update compliance regulations.
Key responsibilities include:
- Reviewing and approving new account documentation, KYC forms, and Investment Policy Statements
- Advising on regulatory changes, policy updates, and compliance requirements
- Coordinating the compliance and AML training process for employees and associates
- Maintaining and updating various files and policies, including NRD files, outside business activities, and Business Continuity Plan
The ideal candidate will have:
- Relevant compliance work experience within the wealth management industry
- A Bachelor's or Master's Degree in a related field, such as Business Administration, Finance, Accounting, or Economics
- Robust knowledge and experience with Investment Policy Statements, discretionary accounts, AML regulations, and training
We offer a competitive salary range of $120,000 - $180,000 per year, depending on experience, and a comprehensive benefits package.
ZLC Wealth Inc. is committed to fostering a collaborative and inclusive work environment that promotes professional growth and development.
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