Chief Compliance Officer (CCO) – Wealth Management
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Position Summary
The Chief Compliance Officer (CCO) – Wealth Management is responsible for designing, implementing, and overseeing the compliance and regulatory framework for the wealth management business. The CCO ensures adherence to applicable securities laws, fiduciary obligations, anti-money laundering regulations, privacy requirements, and industry standards while promoting a culture of integrity, ethical conduct, and regulatory excellence.
The role serves as the primary advisor to executive leadership and the Board on compliance matters and provides independent oversight of regulatory risks across wealth advisory, private banking, investment management, brokerage, trust, and fiduciary services.