Compliance, Private Wealth Management (PWM), Associate, San Francisco

Private Wealth Management Compliance is seeking an Associate to join our team and be based out of the San Francisco 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 PWM business units, Divisional Compliance, Legal and Operations teams on a daily basis

Reviewing marketing materials that are used to pitch products and services to clients

Advising Private Wealth Management business units and teams on regulations, policies and client issues

Participating in US PWM and Global Compliance projects and initiatives