Compliance Operations Sr. Manager (Fully Remote)

Wealth Enhancement; United States; Remote; USD 120,000 - 170,000; Full time

Job summary

Wealth Enhancement is seeking a Compliance Operations Leader to oversee programs, projects, and ongoing obligations across the firm. You will manage teams, set priorities, coach staff, and drive project plans for complex regulatory initiatives with multiple stakeholders.

Key tasks include advancing the firm's GRC and workflow capabilities, translating requirements into structured processes with clear ownership and deadlines, and leveraging technology to improve compliance reporting and

Qualifications

• Experience leading compliance programs and projects.
• Ability to translate requirements into structured workflows.
• Strong documentation and process improvement skills.

Responsibilities

• Lead and coordinate Compliance Operations programs, projects, and recurring obligations.
• Manage assigned personnel including setting priorities and coaching.
• Develop and maintain project plans for complex initiatives with multiple stakeholders.
• Support development and adoption of GRC and workflow capabilities.
• Translate compliance requirements into structured workflows with defined ownership and deadlines.
• Leverage technology to improve compliance management and reporting.
• Coordinate with subject-matter experts to develop and maintain policies.
• Promote documentation consistency and identify gaps between procedures and practices.
• Provide operational and project-management support for regulatory examinations and compliance testing.
• Drive service improvement through AI and digital tools.

Skills

GRC knowledge

Project management

Stakeholder coordination

Education

Bachelor's degree in a related field

Job description

• Lead and coordinate Compliance Operations programs, projects, and recurring obligations.
• Manage assigned personnel, including setting priorities, allocating work, and providing coaching.
• Develop and maintain project plans for complex compliance initiatives with multiple stakeholders.

GRC, Workflow & Process Improvement:

• Support the continued development and adoption of the firm's GRC and workflow capabilities.
• Translate compliance requirements into structured workflows with defined ownership and deadlines.
• Leverage technology to improve management of compliance obligations and reporting.
• Support the firm's compliance policy and procedure governance process.
• Coordinate with subject-matter experts to develop and maintain policies.
• Promote consistent documentation and identify gaps between procedures and practices.

Other Compliance Programs & Support:

• Provide operational and project-management support for regulatory examinations and compliance testing.
• Manage or support additional compliance programs as needed.
• Drive service improvement through AI and digital tools.

Wealth Enhancement is an independent wealth management firm dedicated to personalized financial planning and investment management for over 90,000 households. With over 175 offices nationwide and a history dating back to 1997, the firm emphasizes a team-based approach and continuous improvement in client service.