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Wealth Management Compliance Jobs (NOW HIRING)

BOK Financial

Wealth Compliance Officer

Addison, TX · On-site

Risk Management, Compliance Pay Transparency Salary Range: Not Available Application Deadline: 08 ... BOK Financial Securities, Inc. and BOK Financial Private Wealth, Inc. BOKF, NA operates TransFund ...

BOK Financial

Wealth Compliance Officer

Tulsa, OK

Risk Management, Compliance Pay Transparency Salary Range: Not Available Application Deadline: 08 ... BOK Financial Securities, Inc. and BOK Financial Private Wealth, Inc. BOKF, NA operates TransFund ...

BOK Financial

Wealth Compliance Officer

Tulsa, OK · On-site

Risk Management, Compliance Pay Transparency Salary Range: Not Available Application Deadline: 08 ... BOK Financial Securities, Inc. and BOK Financial Private Wealth, Inc. BOKF, NA operates TransFund ...

BOK Financial

Wealth Compliance Officer

Tulsa, OK · On-site

Risk Management, Compliance Pay Transparency Salary Range: Not Available Application Deadline: 08 ... BOK Financial Securities, Inc. and BOK Financial Private Wealth, Inc. BOKF, NA operates TransFund ...

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All JobsWealth Management Compliance Jobs

Wealth Management Compliance information

See salary details

$31.5K

$98.9K

$207.5K

How much do wealth management compliance jobs pay per year?

As of Aug 8, 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?

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 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.
More about Wealth Management Compliance jobs
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 August 2026, with employment types broken down into 83% Full Time, 13% Part Time, 1% Temporary, and 3% Contract. Highlights an 88% Physical, 2% Hybrid, and 10% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Wealth Management Advisor

Vista Wealth Solutions

New Castle, DE • Remote

$70K - $120K/yr

Full-time

Medical, Dental, Vision, Retirement

Re-posted yesterday

Job description

Wealth Management Advisor

Location: New Castle, DE


Why Join Us?

If you’ve built a strong book of business and are looking for a better home for your practice, we offer more than an affiliation—we offer a genuine competitive advantage.

VISTA was built specifically around the needs of experienced advisors. Our model is straightforward: you bring relationships; we provide the infrastructure, resources, and operational support to help you serve those clients better and grow your practice faster than you could alone.

Here’s what that looks like in practice:

• Dedicated support teams that handle operational and administrative work so you can stay focused on clients

• An open-architecture investment platform that preserves your independence and lets you recommend solutions objectively, without product pressure

• Access to institutional-grade financial planning, portfolio management, and CRM tools—including RightCapital, MoneyGuidePro, and Wealthscape

• Collaborative access to internal specialists and external partners across tax, estate planning, and legal disciplines, so you can deliver truly integrated advice

• Backed by the strength of MassMutual, compliance framework, and resources through MML Investors Services, LLC (Broker-Dealer)—with the autonomy of a boutique firm


The Role

As a Wealth Management Advisor, you will manage and grow a client base of individuals and families, helping them build, preserve, and transition wealth across life stages. You’ll have the freedom to run your practice the way you see fit—with the resources of a well-supported firm behind you.


What You’ll Do

You know this work. In short: manage and grow a client base, deliver comprehensive financial planning and investment management, and collaborate with specialists across tax, legal, and estate disciplines to provide truly integrated advice within a fully supported, compliance-ready environment.


What You Bring

Required

• Active Series 7, Series 66, and Life, Accident & Health licenses

• Minimum of 2-3 years of experience in wealth management or financial services

• Some experience in financial planning and investment portfolio management


Skills & Attributes

• Proven ability to build trust and sustain long-term client relationships

• Strong analytical mindset with sound judgment and a results-driven approach

• Clear, confident communicator—able to translate complex financial concepts for clients at any level of financial sophistication

• Uncompromising commitment to integrity, ethical standards, and regulatory compliance


Compensation

We offer a competitive compensation structure designed to reward performance and recognize the value of an established practice:

• Competitive commission structure with performance-based bonuses

• Practice allowances to support your transition and ongoing operations

• Compensation structured to reflect the strength and scale of the book of business you bring

Benefits

• Medical insurance

• Vision insurance

• Dental insurance

• 401(k)

• Disability insurance



Ready to make a move?

If you’ve outgrown your current platform and are looking for the infrastructure, support, and collaborative environment to take your practice to the next level, we’d like to talk. Reach out to learn more about what a transition to our firm could look like for you.


**To qualify, you must be a US Citizen or permanent resident and have the ability to obtain required licenses and registrations.


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