WM Regulatory Compliance Lead

Accountabilities and Key Roles:

• Lead the development, implementation, and oversight of regulatory compliance frameworks for wealth management activities, ensuring alignment with applicable laws, regulations, and internal policies.
• Provide guidance to Wealth Management teams on regulatory requirements, suitability standards, conduct obligations, and client‑protection rules.
• Monitor regulatory changes, market developments, and emerging compliance risks affecting wealth management products and services.
• Conduct risk assessments, compliance reviews, and gap analyses specific to wealth management operations.
• Support regulatory reporting, examinations, and inquiries related to Wealth Management activities.
• Deliver compliance training to Wealth Management staff to reinforce regulatory expectations and best practices.
• Identify compliance risks and support corrective and preventive actions to strengthen controls and reduce regulatory exposure.
• Collaborate with business units to resolve compliance issues and ensure effective controls related to wealth management operations.
• Oversee training and awareness programs to promote a strong compliance culture within wealth management teams.
• Liaise with regulatory authorities, auditors, and external stakeholders on wealth management compliance matters.
• Mentor and develop wealth management compliance staff, fostering high standards of expertise and professionalism.

Job Requirements:

Education:

• Bachelor’s degree in Finance, or a related field from a recognized university.
• Professional certifications in regulatory compliance, wealth management (preferred).

Experience:

• Minimum of 10 Years of experience in regulatory compliance wealth management.
• Experience in banking or financial services sector.

Competencies:

• Strong knowledge of wealth management regulations, products, and compliance frameworks.
• Analytical and problem-solving skills.
• Excellent communication, presentation, and report writing abilities.
• Leadership and team management.
• Project management and coordination skills.
• Attention to detail and professional integrity.
• Stakeholder management and collaboration.