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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 https://www.ubs.com/global/en/asset_management/glossary. A short compliance glossary can be found at https://www.idology.com/resources/compliance-glossary-terms. 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, http://compliancex.com. Talk to compliance professionals about their careers. Ask them the following questions:

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