Regulatory Affairs Director of Compliance Excellence
1 week ago
At ZLC Wealth Inc., we are seeking a highly skilled Regulatory Affairs Director to join our team and drive compliance excellence across the organization.
About the RoleThis is a critical leadership position that requires a deep understanding of regulatory requirements, industry trends, and compliance best practices. As a key member of our Compliance Division, you will be responsible for ensuring that our business operations are aligned with regulatory standards and guidelines.
Key Responsibilities:
- Develop and implement effective compliance strategies to mitigate risk and ensure regulatory adherence.
- Liaise with senior management, advisors, and cross-functional teams to maintain compliance regulations and policies.
- Review and approve new account documentation, KYC forms, and Investment Policy Statements.
- Advise on regulatory changes, policy updates, and compliance requirements to enhance business operations.
- Collaborate with the compliance team to identify process improvement opportunities and develop project plans.
- Lead project management efforts for the implementation of new compliance technologies, ensuring alignment with regulatory requirements and organizational goals.
Requirements:
- 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 and legal documents.
- Proficiency with computer applications and systems such as Microsoft Office, NRD, CRM systems, Dataphile, and portfolio management software.
What We Offer:
We offer a competitive salary range of $120,000 - $180,000 per year, depending on experience, plus a comprehensive benefits package, including health insurance, retirement plan, and paid time off.
About Us:
ZLC Wealth Inc. is a dynamic and growing wealth management company committed to delivering exceptional client experiences and exceeding regulatory standards.
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