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.

Key Responsibilities

Compliance Strategy & Governance

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Develop and execute the enterprise-wide compliance strategy for the wealth management division.

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Establish and maintain compliance policies, procedures, and governance frameworks.

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Ensure compliance programs align with business objectives and regulatory expectations.

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Advise executive leadership and the Board on emerging regulatory developments and compliance risks.

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Promote a strong culture of ethics, integrity, and regulatory accountability.

Regulatory Compliance Oversight

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Ensure compliance with applicable securities, investment advisory, fiduciary, and banking regulations.

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Monitor regulatory developments and assess their impact on the organization.

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Oversee regulatory examinations, inspections, and inquiries.

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Coordinate responses to regulators and ensure timely remediation of findings.

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Maintain effective relationships with regulatory authorities and industry bodies.

Wealth Management & Advisory Compliance

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Oversee compliance programs covering:

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Investment Advisory Services

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Private Banking

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Brokerage Services

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Trust and Fiduciary Services

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Retirement and Estate Planning Services

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Discretionary Portfolio Management

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Review new products, investment strategies, and busi

📌 Chief Compliance Officer (Trinitat)
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