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Wealth Management Compliance Professionals

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If the terms “asset allocation,” “index,” “mid caps,” and “blue chips” seem like a foreign language to you, then a glossary is a good place to start as you explore the world of wealth management. The investment bank UBS offers a useful glossary of WM terms at A short compliance glossary can be found at Visit your local library to check out books such as Essential Strategies for Financial Services Compliance (John Wiley & Sons, 2015), which provides a detailed overview of the types of issues compliance professionals face every day. Another good resource is the ComplianceX blog, Talk to compliance professionals about their careers. Ask them the following questions:

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