Pursue leadership jobs in the critical nexus of risk management and wealth management growth as a Senior Vice President of Business Risk & Controls for Wealth Management Sales Advisory. This high-impact executive role is central to ensuring that the sales and advisory functions of a wealth management business operate with both commercial vigor and rigorous control. Professionals in these jobs act as the strategic linchpin, designing and overseeing the framework that allows financial advisors to serve clients effectively while adhering to a complex web of regulations, internal policies, and ethical standards. Typically, individuals in this profession are responsible for the end-to-end risk management of the sales practice. This involves developing, implementing, and monitoring control policies and procedures specific to the advisory channel. A core duty is to interpret evolving regulatory requirements—such as those concerning suitability, fiduciary duty, and conflict of interest—and translate them into actionable guidance for the field organization. They lead teams that conduct surveillance and testing to ensure advisory practices comply with all applicable laws and firm standards, investigating potential issues and driving corrective actions. Furthermore, this role entails proactive risk assessment, identifying emerging risks in product offerings, sales practices, or technological platforms before they materialize into problems. A key aspect is fostering a culture of compliance through training and communication, ensuring advisors understand their responsibilities. Candidates for these senior leadership jobs must possess a rare blend of deep technical expertise and strong business acumen. A comprehensive understanding of wealth management products (managed accounts, trusts, securities, insurance), the associated regulatory environment (SEC, FINRA), and core risk management principles is non-negotiable. Essential skills include exceptional analytical and problem-solving abilities to assess complex situations, alongside outstanding communication and influence skills to engage effectively with both senior business leaders and field advisors. Proven experience in building and leading high-performing risk or compliance teams is critical. Typically, requirements include 10+ years of progressive experience in risk, compliance, or audit within wealth management or a closely related financial services sector, with an advanced degree or relevant professional certifications (e.g., CRCP, CIA) being highly advantageous. This career path is ideal for strategic thinkers dedicated to protecting client assets and firm integrity while supporting sustainable business growth.
