Compliance, Private Wealth Management (PWM), Vice President, Los Angeles

Wealth Management Compliance is seeking an Associate or Vice President to join our team and be based out of the Los Angeles office.  As part of this team, the primary responsibilities will include: Monitoring and conducting surveillances focusing on compliance with regulatory and/or internal controls. Assessing financial product and transaction suitability relating to a range of clients, ensuring strict compliance with regulations and internal policies Interacting with the Wealth Management business unit, Divisional Compliance, Legal and Operations teams daily. Reviewing marketing materials that are used to pitch products and services to clients. Advising Wealth Management business unit and teams on regulations, policies and client issues. Participating in US Wealth Management and Global Compliance projects and initiatives. ETC