Wealth Management Compliance Cover Letter

I am excited to be applying for the position of wealth management compliance. Please accept this letter and the attached resume as my interest in this position.

Previously, I was responsible for compliance, supervision and oversight to all Financial Industry Regulatory Authority (FINRA) licensed personnel within the region.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Wide scope of knowledge of RBWM businesses, including products, operations, systems and organization
• Experience of working within a matrixed environment preferred including reporting internationally
• Comprehensive knowledge of FINRA, SEC, Fed and OCC regulations especially with respect to private banking and broking and portfolio management
• Regulatory Compliance, Risk, or Internal Audit experience
• Bank or equivalent operations experience in wealth management and advisory services
• Inquisitive, resourceful, and able to seek out information and develop sound conclusions and strategies
• Excellent communication skills, including report writing, oral presentations, group facilitation skills
• An individual who is motivated, a team player and communicates effectively with business partners and other control functions

I submit this application to express my sincere interest in the wealth management compliance position.

Previously, I was responsible for detailed analysis of complex financial situations in order to propose the appropriate services to the prospective client.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Critical attention to detail and meeting deadlines
• Advanced MS Office skills, including MS PowerPoint
• Compliance Program Management preferred
• Strong influencing, interpersonal, written and oral communication skills
• Strong knowledge of DIM products and services, and related policies, procedures and control processes
• Understanding of regulatory requirements and operations supporting investment advisers with a particular focus on OCC banking regulations of advisor functions and 12 CFR 9 fiduciary rules
• Highly analytical, with experience in defining analytical approaches and collecting, analyzing, and synthesizing data from multiple sources to drive conclusions
• Previous and relevant Compliance experience or other related experience legal, risk management, audit, operations controls or similar

I would like to submit my application for the wealth management compliance opening. Please accept this letter and the attached resume.

In the previous role, I was responsible for support to Financial Advisors and their support staff regarding Alternative Investment transactions, including subscriptions, transfers, redemptions, and document revisions/amendments.

My experience is an excellent fit for the list of requirements in this job:

• Strong knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940 , with an overall understanding of regulations relating to registered investment advisers, mutual funds, collective investment funds and funds distribution (broker dealer) businesses
• Working knowledge of fiduciary related regulations, including 12 CFR 9 and ERISA requirements
• Experience with Broker Dealer requirements specific to funds distribution
• Practical experience of conducting investment adviser, mutual funds and broker dealer monitoring and/or testing in an asset management company
• Experience with internal and regulatory auditors
• Extensive knowledge of regulatory requirements and operations supporting the pooled investment vehicles such as private equity and hedge funds
• Knowledge of federal securities laws, including the Investment Company Act and the Investment Advisers Act
• Refine compliance program, controls and surveillance tools which enables compliance to conduct in depth reviews

I am excited to be applying for the position of wealth management compliance. Please accept this letter and the attached resume as my interest in this position.

In the previous role, I was responsible for individualized recommendations to the Financial Advisor regarding client situations and their investment managers using Consulting Group manager research.

Please consider my experience and qualifications for this position:

• Excellent verbal and written English communication skills are essential and fluency in Asian languages Mandarin or Cantonese advantageous
• Excellent communication skills (both oral and written), strong analytical skills
• Prior experience in the securities industry prefered
• Experience in Compliance, Risk Management, Audit or Operational roles with increasing responsibilities, and diverse experiences in addition to other work experience
• Experience wealth management business strongly preferred
• Able to act independently, exercise judgment, work under pressure and liaise effectively with the business units is essential
• Knowledge of Common Reporting Standard (CRS) regulations including technical and reporting obligations
• Experience with running CRS project, including creating operating models for information gathering, self certificate validation, CRS reportable data scrubs and creating jurisdictional reporting models

Please consider me for the wealth management compliance opportunity. I am including my resume that lists my qualifications and experience.

In the previous role, I was responsible for new products or initiatives support on potential regulatory impacts in the development and evaluation of business requirements, proposed compliance related controls, and post implementation effectiveness of those controls.

Please consider my experience and qualifications for this position:

• Have a good appreciation of the regulations applicable to WM business, particularly new and upcoming regulations
• Proficient in the application of adult learning principles in training
• Demonstrated success working in an environment that values teamwork and collaboration
• Strong organizational skills with project management experience preferred
• Familiarity with training and design applications for design and development (e.g., Skype, WebEx, PowerPoint, Excel, Word, Learning Management System)
• Knowledge of risk management principles and controls, broad-based business practices, and deep understanding of function business processes
• FINRA 7, 24 and 66
• Experience in the financial services industry, including the review of Training and Education content, Retail Communications and/or development of Policies for a Broker/Dealer and/or Registered Investment Advisor