Job summary
Job post source
This job is from a recruiting firm hiring for a separate company as indicated by the phrase 'On behalf of our client' in the description.
Job overview
The Senior Manager, Risk & Compliance in Wealth Management leads the risk and compliance function to ensure regulatory alignment and support growth in RIA and trust operations within the financial services sector.
Responsibilities and impact
The role involves developing risk and compliance frameworks, leading risk management and compliance initiatives, monitoring regulatory adherence, preparing reports for leadership, maintaining policy manuals, improving processes and technology, leading a compliance team, overseeing regulatory filings, serving as Chief Compliance Officer, collaborating with stakeholders, and participating in strategic planning with occasional travel.
Experience and skills
Candidates must have a bachelor's degree and preferably advanced certifications like CFIRS or CRCM, with over 10 years of experience in trust, RIA, or financial services compliance, strong regulatory knowledge, leadership skills, communication skills, and ability to drive cross-functional change.
Compensation and benefits
The position offers a salary range of $130,000 to $175,000 and is a hybrid role; no additional benefits information is provided.
Job location and travel
The role is hybrid, implying a combination of remote and on-site work, with occasional travel required.
Company overview
Broadgate is a dynamic real estate company specializing in the development and management of mixed-use properties, primarily in urban areas. They generate revenue through leasing office spaces, retail units, and residential properties, as well as through property management services. Founded in the 1980s, Broadgate has a significant history of transforming underutilized urban spaces into vibrant, sustainable communities. Their flagship project, the Broadgate Campus in London, is a prime example of their innovative approach to urban development.
How to land this job
Position your resume to highlight your extensive experience in risk and compliance within wealth management, emphasizing leadership roles and regulatory knowledge relevant to SEC, FINRA, and OCC frameworks.
Focus on showcasing your ability to develop and implement risk frameworks, lead compliance initiatives, and manage fiduciary obligations, as these are key responsibilities for this Senior Manager role at Broadgate.
Apply through multiple channels including Broadgate's corporate career site and LinkedIn to maximize your application visibility and reach.
Connect with current employees in the Wealth Management or Risk & Compliance divisions at Broadgate on LinkedIn; use ice breakers like commenting on recent regulatory changes impacting wealth management or asking about their approach to compliance innovation.
Optimize your resume for ATS by incorporating keywords such as 'risk management,' 'compliance frameworks,' 'RIA,' 'fiduciary obligations,' and certifications like CFIRS or CRCM to ensure it passes automated screenings.
Leverage Jennie Johnson's Power Apply feature to automate tailored applications, identify optimal job portals, and find relevant LinkedIn contacts, freeing you to focus on strategic networking and interview preparation.
Jennie Johnson works for you!
Here’s what we do to make sure you’re successful:
Targeted Resume Revamp:
We expertly craft your resume to navigate Applicant Tracking Systems (ATS) and showcase your qualifications, making you stand out as a top-tier candidate.
Job Description Dissection:
Unpack the job posting with expert analysis, ensuring your application hits every key requirement.
Bespoke Cover Letter:
Capture the attention of hiring managers with a personalized cover letter that highlights how your skills align perfectly with the job's needs.
Interview Mastery:
Prepare for interviews like a pro with likely questions, strategic answers, and insightful questions for you to ask, setting you apart as an informed candidate.
Direct Application Insights:
Receive tailored advice on the best places to apply, ensuring your applications are seen by the right employers.
Skills and Gaps Assessment:
Identify and close critical skills gaps to position yourself as the best-fit candidate for your ideal job.
Personalized Email Pitch:
Make a memorable first impression with an email template crafted to engage potential employers and initiate meaningful conversations.
In-depth Research Guide:
Leverage comprehensive research tools to gather effective insights on companies, industry trends, and role-specific challenges.
Detailed Company Analysis:
Gain in-depth understanding of your prospective employer, giving you the edge in applications and interviews.
Strategic Candidate Overview:
Understand your unique value and why companies would want to interview you, highlighting your background and positioning.