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Wealth Management Compliance Professionals

Experience, Skills, and Personality Traits

For entry-level positions, you’ll need to complete a compliance-related internship or participate in a co-operative educational experience during college. This can be at a wealth management firm, in the compliance department of a corporation, or at a regulator such as the Securities and Exchange Commission. To become a chief compliance officer (CCO), you will need five to 10 years of compliance experience; at least half of this time should be in a managerial position. Some wealth management firms prefer to hire CCOs who have law degrees.

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