Compliance Officer - Wealth Oversight
Wsfs Financial
Wilmington, NC
Job Description At WSFS Bank, we empower our Associates to grow their careers, guide our customers to secure their financial futures, and actively support our Communities so they can fully thrive. Careers with WSFS Bank offer an inclusive and supportive culture, competitive salaries, advancement opportunities, and more. We are the region's locally headquartered bank and wealth management company. We are honored to consistently be named a Top Workplace by our Associates, who make a difference every day for the people, businesses, and Communities we serve. We Stand For Service® is more than part of our name, it's our mission and our purpose. The Compliance Officer serves as a second line of defense oversight leader responsible for providing independent governance, effective challenge, and compliance risk advisory across Wealth Division products, services, and client-facing activities. This role ensures that first line Wealth business units have appropriately identified, designed, implemented, and sustained compliance controls aligned with regulatory requirements, enterprise risk appetite, and the three lines of defense risk framework. This position operates independently of first line execution and provides credible challenge, regulatory interpretation, risk assessment, issue oversight, and strategic advisory support to Wealth leadership. The incumbent will partner closely with first line business leaders, first line wealth risk and compliance, Enterprise Risk Management (ERM), Operational Risk Management (ORM), Legal, Internal Audit, Technology, and regulators to strengthen the control environment, protect clients, and support safe and sound growth. Job Responsibilities:
$92,869.00 - $152,569.00 Individual base pay may vary on additional factors such as the candidate's experience, job-related skills, relevant education, geographic location, and other specific business and organizational needs. In addition to base salary, WSFS Financial Corporation (WSFS) and its subsidiaries may offer eligible Associates discretionary and formula-based incentive and retention awards. WSFS provides a competitive benefits package, which includes medical, dental, and vision coverage; a 401(k) plan; life, accident, and disability insurance; flexible spending accounts (FSAs) and health savings accounts (HSAs); and wellness programs. Additional benefits may include paid parental leave, military leave, vacation and other paid time off, sick leave in accordance with applicable state laws, and paid holidays. Benefit offerings are subject to eligibility requirements, legal limitations, and may vary based on an Associate's location and employment status. For more information about Associate benefits, please visit WSFS Bank is inclusive and supportive of individual needs. If you have a physical or other impairment that might require an accommodation, including technical assistance with the WSFS Bank Careers website or submission process, please contact us via email at [email protected]. WSFS is an equal opportunity employer. We do not discriminate based upon race, religion, color, national origin, gender (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.
- Provide independent oversight and effective challenge to first line Wealth risk management activities.
- Assess whether first line compliance controls are adequately designed, implemented, and operating effectively across Wealth lines of business.
- Ensure alignment with enterprise risk appetite, regulatory expectations, and the three lines of defense model.
- Serve as an independent control function-not responsible for business execution or operational ownership.
- Interpret and apply federal and state regulatory requirements (e.g., OCC, SEC, FRB, state regulators, Investment Company Act of 1940, securities laws, fiduciary standards, OCC's RNDIP requirements).
- Provide clear, practical guidance to first line leaders on compliance risk, control design, and regulatory expectations.
- Advise on new and changed products, services, processes, marketing, disclosures, and client communications from a risk compliance perspective.
- Translate regulatory complexity into business-relevant, risk-based guidance.
- Lead or support the annual compliance risk assessment for Wealth Division.
- Evaluate inherent risk, control effectiveness, and residual risk.
- Maintain oversight of the compliance obligation inventory and associated control mapping.
- Define and monitor key risk indicators (KRIs) and compliance metrics.
- Provide second line oversight of issue identification, root cause analysis, remediation planning, and sustainability.
- Challenge remediation plans and validate adequacy of corrective actions.
- Strengthen issue self-identification, reduce overdue issues, and improve remediation discipline.
- Oversee regulatory issues, MRAs, audit findings, and compliance matters impacting Wealth.
- Oversee first line monitoring, QA, and control testing framework s .
- Review results, identify trends, and escalate systemic risks.
- Conduct targeted second line reviews and surveillance as needed.
- Ensure alignment between compliance monitoring, audit outcomes, and risk assessments.
- Support and participate in regulatory examinations, audits, and inquiries.
- Review first line materials for regulatory readiness.
- Provide independent compliance perspective in supervisory interactions.
- Manage regulatory response coordination for Wealth-related matters.
- Review, and maintain compliance policies, standards, and guidance applicable to Wealth.
- Support training development to strengthen first line risk ownership and compliance capability.
- Act as a subject matter expert across Wealth compliance domains.
- Support the Risk Management Strategic Plan, including three lines of defense maturity, compliance built-in mindset, risk ownership in the first line, and integrated risk governance.
- Represent Compliance in enterprise forums, working groups, and committees.
- Support compliance technology initiatives and GRC platform evolution.
- Bachelor's degree or equivalent experience.
- 5+ years experience in compliance, risk management, audit, or regulatory oversight.
- Strong knowledge of wealth management, trust, investment, fiduciary, and advisory-related activities.
- Experience in second line oversight, compliance advisory, or risk governance.
- Ability to provide effective challenge and independent judgment.
- Strong regulatory interpretation and analytical skills.
- Excellent written and verbal communication.
- Experience interacting with regulators and auditors.
- Experience in an integrated wealth business (bank subsidiary, trust, RNDIP, , investment advisory) preferred.
- Knowledge of SEC, r, RIA, fiduciary, and RNDIP regulatory frameworks preferred.
- Experience with compliance risk assessments and issue management preferred.
- Professional certifications: CRCM, CIA, CFSA preferred.
- Experience with GRC platforms, risk systems, and compliance analytics tools preferred.
$92,869.00 - $152,569.00 Individual base pay may vary on additional factors such as the candidate's experience, job-related skills, relevant education, geographic location, and other specific business and organizational needs. In addition to base salary, WSFS Financial Corporation (WSFS) and its subsidiaries may offer eligible Associates discretionary and formula-based incentive and retention awards. WSFS provides a competitive benefits package, which includes medical, dental, and vision coverage; a 401(k) plan; life, accident, and disability insurance; flexible spending accounts (FSAs) and health savings accounts (HSAs); and wellness programs. Additional benefits may include paid parental leave, military leave, vacation and other paid time off, sick leave in accordance with applicable state laws, and paid holidays. Benefit offerings are subject to eligibility requirements, legal limitations, and may vary based on an Associate's location and employment status. For more information about Associate benefits, please visit WSFS Bank is inclusive and supportive of individual needs. If you have a physical or other impairment that might require an accommodation, including technical assistance with the WSFS Bank Careers website or submission process, please contact us via email at [email protected]. WSFS is an equal opportunity employer. We do not discriminate based upon race, religion, color, national origin, gender (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.
Posted 2026-03-18
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