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Wealth Management Compliance Jobs (NOW HIRING)

FAVARH

Wealth Consultant

Boston, MA

Access best-in-class tools for financial planning, CRM, compliance, and portfolio management - all ... wealth accumulation. * Maintain and apply expertise in financial securities and investments ...

Voya Financial, Inc.

Wealth Consultant

Boston, MA · On-site

Access best-in-class tools for financial planning, CRM, compliance, and portfolio management - all ... wealth accumulation. * Maintain and apply expertise in financial securities and investments ...

WSFS Bank

Compliance Officer - Wealth

Wilmington, DE · On-site

We are the region's locally headquartered bank and wealth management company. We are honored to ... The Compliance Officer serves as a second line of defense oversight leader responsible for ...

HORAN Wealth

Wealth Advisor

Cincinnati, OH · On-site

Client Relationship Management: * Build and maintain strong relationships with clients by providing ... Compliance and Ethics: * Adhere to all regulatory and compliance requirements, maintaining the ...

Seacoast Bank

Wealth Management Assistant I

Winter Park, FL · On-site

$39K - $45K/yr

JOB SUMMARY: The Wealth Management Assistant is responsible for supporting a Wealth Advisor and ... compliance standards. * Provide marketing support in the form of prospecting, client reporting, and ...

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All JobsWealth Management Compliance Jobs

Wealth Management Compliance information

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$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:
What states have the most Wealth Management Compliance jobs? States with the most job openings for Wealth Management Compliance jobs include:
What job categories do people searching Wealth Management Compliance jobs look for? The top searched job categories for Wealth Management Compliance jobs are:
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 Risk Consultant II

BOK Financial

Fort Worth, TX

Full-time

Posted 29 days ago

Job description

Req ID: 78252 

Location: Tulsa -TUL, Oklahoma City -OKC, Dallas -DAL, Fort Worth -FTWT, Kansas City -KSCY, Phoenix -PHOE 

Areas of Interest: Corporate Trust; Risk Management; Wealth Management 

Pay Transparency Salary Range: Not Available 

Application Deadline: 08/31/2026

BOK Financial Corporation Group includes BOKF, NA; BOK Financial Securities, Inc. and BOK Financial Private Wealth, Inc. BOKF, NA operates TransFund and Cavanal Hill Investment Management, Inc. BOKF, NA operates banking divisions: Bank of Albuquerque; Bank of Oklahoma; Bank of Texas and BOK Financial.

Bonus Type
Discretionary
Summary

We are a trusted and experienced Financial Institution that acts in the best interest of our clients and the communities we serve. We thrive using our knowledge, experience, resources and disciplined approach to help others make the right decisions for their future. 

Job Description

The Wealth Management Risk Consultant is primarily responsible for assisting with the management of the Control Objectives for their respective business line, which includes among other things, identifying areas of potential risk for the business line and/or its clients.  Performs independent reviews of new and existing accounts.  Reports any findings to the Strategic Risk Officer.  Identifies training needs and process improvements based upon review finding.  Assists with the development of processes, procedures and reporting systems to mitigate that risk.  Assists with routine audits and compliance tests. 

Team Culture

You'll work collaboratively with your colleagues and client facing teams across Wealth Management, including Private Wealth, Brokerage, and Institutional Wealth.  Integrity is the foundation on which our team builds relationships, trust, and effective partnerships. We live the company values in everything we do and act with honor and truthfulness.

How You'll Spend Your Time
  • You will perform independent reviews of new and existing accounts, the governing documents, account coding and / or control reports to confirm compliance with policies and procedures. You will also identify any gaps while working closely with administrators to correct and report any significant findings to the Strategic Risk Officer, Department Managers and/or Corporate Governance Committees when appropriate.
  • You will identify risks and assist with the implementation of controls to manage the identified risks while assisting with the drafting of policies and procedures to ensure that controls are effective and test those controls on a periodic basis. 
  • You will actively participate in annual reviews of process maps and the risk and control self-assessment (RCSA).
  • You will prepare for internal and external audits by working with administration to collect required data. This will include participating in ongoing meetings with auditors, compliance, regulators, and risk personnel to ensure all required information has been collected and reviewed. 
  • You will have routine interaction with corporate compliance, internal audit, and wealth management risk.
  • You will identify training needs and process improvements and assists the Strategic Risk Officer with the development of training materials and process improvements.
Education & Experience Requirements

This level of knowledge is normally acquired through completion of a Bachelor's degree and 5-7 years of knowledge and experience with Wealth Management relationships, or 9+ years equivalent experience.

BOK Financial Corporation Group is a stable and financially strong organization that provides excellent training and development to support building the long term careers of employees. With passion, skill and partnership you can make an impact on the success of the bank, customers and your own career!  
Apply today and take the first step towards your next career opportunity!
The companies in BOK Financial Corporation Group are equal opportunity employers.  We are committed to providing equal employment opportunities for training, compensation, transfer, promotion and other aspects of employment for all qualified applicants and employees without regard to sex, race, color, religion, national origin, age, disability, pregnancy status, sexual orientation, genetic information or veteran status.

Please contact recruiting_coordinators@bokf.com with any questions. 

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