Compliance, Private Wealth Management, Analyst

Location(s) US-NY-New York | US-DE-Wilmington | US-TX-Dallas
Job ID
Schedule Type
Full Time
Business Unit
PWM Compliance
Employment Type




Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.




Job Summary & Responsibilities


Private Wealth Management (“PWM”) Compliance is responsible for supervising the business to ensure compliance with regulations and firm policies as well as assist with the implementation of new regulations and new systems / processes. The team covers many of the businesses within PWM that are constantly growing and changing.  We are looking for a team member who wants to be part of growing the business in new dimensions –  someone who is equal part visionary and executor. At times, the role will require you to navigate and problem solve with multiple teams and stakeholders. We look to those who possess sound judgement, curiosity, and are able to adapt to a changing regulatory landscape.


As a contributor within PWM Compliance, a successful candidate will be responsible for supporting and organizing Compliance’s involvement in various projects and processes as well as being the key Compliance contact for certain working groups, business lines while developing subject matter expertise in regulations applicable to the business. Additionally, the role will involve working in collaboration with the broader compliance team in order to deliver high quality work products, reflecting attention to detail and analytical prowess.


PWM Compliance is seeking an experienced Analyst to join our team based in New York City.  In addition to the above, responsibilities may include:

  • Interacting with the global PWM business and compliance teams on a daily basis
  • Reviewing marketing materials that are used to pitch PWM products and services to clients
  • Having knowledge and understanding of different rules and regulations and how they impact the PWM business
  • Responding to different regulatory inquiries pertaining to PWM
  • Developing and implementing policies, procedures and best practices for PWM 
  • Creating and implementing live and online compliance training programs to educate business professionals on applicable compliance requirements, legal issues and regulatory changes
  • Producing and distributing global quarterly supervisory reports which detail key metrics and regulatory updates
  • Acting as lead for multiple other supervisory processes

Basic Qualifications:

  • Undergraduate degree
  • Up to 3 years of relevant experience preferable

Skills and Characteristics:

An ideal candidate should:

  • Have the ability to quickly grasp complex concepts, including global business and regulatory matters
  • Exercise strong judgement and decision-making in a collaborative consensus-driven environment
  • Be interested in and willing to develop expertise in legal, regulatory and compliance issues in the financial industry
  • Have strong project management skills and ability to see a task to completion
  • Possess excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions
  • Work well under pressure and have a positive, hands-on, “can do” attitude 
  • Be able to devise and implement creative and innovative solution
  • Possess strong analytical and risk assessment skills as well as concise verbal and written communication skills
  • Be a self-starter, with the ability to work effectively with minimal supervision
  • Have the ability to multi-task and adapt to new situations and a dynamic work environment



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