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$31.5K

$98.9K

$207.5K

How much do wealth management compliance jobs pay per year?

As of Jul 27, 2026, the average yearly pay for wealth management compliance in the United States is $98,949.00, according to ZipRecruiter salary data. Most workers in this role earn between $61,500.00 and $115,000.00 per year, depending on experience, location, and employer.

What are the key skills and qualifications needed to thrive in Wealth Management Compliance, and why are they important?

To thrive in Wealth Management Compliance, you need a deep understanding of financial regulations, risk management, and investment products, often supported by a degree in finance, law, or a related field. Familiarity with compliance management systems, regulatory reporting tools, and certifications such as CAMS or CRCM is typically required. Strong analytical thinking, attention to detail, and effective communication are crucial soft skills for interpreting regulations and guiding business practices. These skills and qualifications are essential to ensure regulatory adherence, safeguard client interests, and maintain the firm's reputation.

What is the highest paying job in compliance?

In wealth management compliance, senior roles such as Chief Compliance Officer (CCO) or Head of Compliance typically have the highest salaries, often exceeding six figures annually. These positions require extensive experience, certifications like CAMS or CRCM, and oversight of compliance programs within financial firms.

Will compliance be replaced by AI?

Wealth management compliance professionals oversee adherence to regulations and internal policies, and AI tools are increasingly used to automate routine tasks such as data analysis and monitoring. However, human judgment remains essential for interpreting complex regulations and making ethical decisions, so AI is seen as a complement rather than a complete replacement in compliance roles.

Is 200,000 enough to work with a financial advisor?

For a wealth management compliance professional, working with a financial advisor typically involves understanding client portfolios and regulatory standards rather than personal investment amounts. The $200,000 figure is more relevant to clients seeking financial advice; professionals in this role focus on compliance and advisory standards regardless of individual client assets. Certification and experience are key factors in the role, not personal investment thresholds.

What is compliance in wealth management?

In wealth management, compliance refers to adhering to laws, regulations, and internal policies that govern financial advising and asset management. Wealth management compliance professionals ensure that advisors follow ethical standards, prevent fraud, and maintain client confidentiality, often working with regulatory bodies and requiring certifications like the Series 7 or Series 24. Their role helps protect firms from legal penalties and reputational risk.

What are some common challenges faced by professionals in Wealth Management Compliance?

Professionals in Wealth Management Compliance often encounter challenges such as keeping up with constantly evolving regulations, ensuring all client portfolios comply with both internal policies and external laws, and effectively communicating compliance requirements to advisors and relationship managers. Balancing business growth objectives with stringent compliance standards can also be complex, requiring strong analytical skills and attention to detail. Collaborating closely with legal, risk, and business teams is crucial to proactively address potential issues and maintain a culture of compliance throughout the organization.

What is the difference between Wealth Management Compliance vs Financial Advisor?

AspectWealth Management ComplianceFinancial Advisor
CertificationsSeries 7, 24, 66, or 63 licenses; compliance certificationsSeries 7, 66, CFP, or other financial planning credentials
Work EnvironmentFinancial firms, compliance departments, regulatory agenciesClient offices, financial firms, independent practices
Primary FocusEnsuring adherence to regulations, risk managementProviding financial advice, investment planning

Wealth Management Compliance professionals focus on regulatory adherence and risk management within financial firms, ensuring compliance with industry laws. Financial Advisors primarily work directly with clients to develop financial plans and investment strategies. While both roles require financial licenses, their core responsibilities differ significantly, with compliance roles emphasizing regulation and advisors focusing on client wealth growth.

What is wealth management compliance?

Wealth management compliance refers to the processes and regulations that ensure wealth management firms and professionals adhere to legal, ethical, and regulatory standards. Compliance professionals in wealth management monitor activities to prevent money laundering, insider trading, and other financial crimes, and ensure that client investments are managed according to legal requirements. They also help firms stay up to date with changing laws and industry standards, conduct internal audits, and provide training to staff. Their work is crucial for protecting both clients and the firm from legal and reputational risks.
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What cities are hiring for Wealth Management Compliance jobs? Cities with the most Wealth Management Compliance job openings:
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Wealth Management Compliance jobs near you
Infographic showing various Wealth Management Compliance job openings in the United States as of July 2026, with employment types broken down into 1% As Needed, 82% Full Time, 12% Part Time, and 5% Contract. Highlights an 94% Physical, 2% Hybrid, and 4% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Wealth Management Compliance Director

SNB

Sioux City, IA

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Posted 24 days ago

Job description

YOUR OPPORTUNITY: WEALTH MANAGEMENT COMPLIANCE DIRECTOR

At Security National Bank, we believe that everything matters—especially when it comes to trust, compliance, and protecting our clients. As a Wealth Management Compliance Director, you will play a critical leadership role in ensuring our Trust Division operates with integrity, accuracy, and adherence to regulatory standards.

This position sits at the intersection of compliance, risk management, and client service. You’ll help guide the division through evolving regulations, lead key initiatives like disaster recovery and risk assessments, and support both internal teams and clients with your expertise. If you’re driven by precision, accountability, and the opportunity to influence meaningful outcomes, this is your chance to make a lasting impact.

WHAT YOU’LL DO:

  • Monitor and interpret OCC and other regulatory requirements, providing guidance to ensure Trust Division compliance
  • Review new and proposed regulations and recommend policy or procedure updates
  • Coordinate regulatory exams (internal, external, and OCC) and support audit readiness
  • Lead compliance training efforts, including BSA/AML, information security and other required enterprise programs
  • Develop, maintain, and test the Division’s Disaster Recovery Program annually
  • Chair the Trust Risk Management Committee, including agenda-setting, follow-up, and reporting
  • Oversee Division risk assessments, coordinate and ensure testing of the mitigation controls is completed, and ensure alignment with enterprise risk management practices
  • Partner with leadership and staff to implement policies, monitor compliance, and drive continuous improvement
  • Review and update policies, contracts, and procedures to meet regulatory standards
  • Conduct vendor compliance reviews and present findings to the Bank Risk Committee
  • Support trust account administration activities, including documentation review, reporting, and compliance oversight
  • Supervise administrative support staff
  • Contribute to business development efforts and represent the bank in professional and community settings
  • Participate in Wealth Management leadership planning and strategic decision-making

WHAT MAKES YOU A GREAT FIT:

  • Deep understanding of regulatory frameworks affecting trust and fiduciary services (OCC, BSA/AML, Regulation R, Regulation 9)
  • Strong analytical and problem-solving skills, with the ability to interpret complex regulations and apply them practically
  • Proven ability to manage compliance programs, audits, and risk assessments
  • Effective communicator who can clearly translate regulatory requirements into actionable guidance
  • Leadership skills with experience mentoring, coaching, and managing staff
  • Highly organized with the ability to manage multiple priorities and deadlines
  • Collaborative mindset with the ability to work across departments and influence outcomes
  • Commitment to delivering excellent client service while maintaining strict compliance standards

Education & Experience:

  • Bachelor’s degree or equivalent work experience required
  • Minimum of 5 years of professional office or related experience

HOURS:

Regular business hours, Monday through Friday.

 

BENEFITS:

We offer a comprehensive benefit package to our employees including medical, dental, vision, short and long term disability, life insurance, paid time off, a wellness program, and a 401(k) savings plan at hire for future financial protection.

 

 

ABOUT SECURITY NATIONAL BANK:

Security National Bank was chartered in 1884 in Sioux City, Iowa; founded on the time-tested principles of integrity, honor, open-mindedness, efficiency, good humor, respect, duty, and human connection.  These principles served as guideposts that enabled SNB to withstand the economic panic of the late 1800s, the Great Depression, two World Wars, and the farm crisis — and emerge as the region’s most established and trustworthy locally owned bank.  We believe what was worth doing well yesterday is still worth doing well today. People change and banking changes, but our time-tested principles remain.  To this day, we believe that doing what’s right is the only way to take care of customers, empower businesses, cultivate growth, inspire our community, and accomplish the remarkable.

Security National Bank is an Equal Opportunity, Affirmative Action Employer.  Applicants are considered for all positions without regard to race, color, religion, sex (including pregnancy, gender identity, and sexual orientation), national origin, age, disability, marital status, or veteran status.

LEARN MORE:

https://www.snbonline.com/mattertoday

LOCATION:

Sioux City, IA

Main Bank

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