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Wealth Management Compliance Professionals

Overview

Compliance professionals make sure that their firms are in compliance with laws and regulations that have been established by the federal government (such as the Investment Advisers Act of 1940 and the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010), state governments, and voluntary investor-protection organizations such as the Financial Industry Regulatory Authority. They also ensure that their firms comply with internal systems that have been established to ensure compliance with government and voluntary regulators. 

Salary Range

$25,000 to $100,000+

Minimum Education Level

Bachelor's Degree

Certification/License

Recommended

Outlook

About as Fast as the Average
Personality Traits

Enterprising

Hands On

Realistic

Career Ladder
Chief Compliance Officer

Compliance Director

Compliance Officer

Senior Compliance Analyst

Compliance Analyst

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