Top 16 Associate director of compliance wealth management Jobs in Ohio

Associate Director of Compliance - Wealth Management
Growth Suite Consulting —Cleveland, OH
- $60,000 - $72,500 a year
- Full-time
- Background check
- Mid-level
- Office
- Health insurance
- Dental insurance
Quick Apply
Financial Advisor
KEMBA Financial Credit Union —Columbus, OH
- $48,000 a year
- Full-time
- Hybrid work
- Mid-level
- Communication skills
- Ability to lift 25 pounds
- 401(k)
- Cell phone reimbursement
Quick Apply
Operations Associate
Marsh, Berry & Company, LLC —Woodmere, OH
- Extended hours
- Hybrid work
- Research
- Mid-level
- Office
Director Of Major Giving
Cleveland Animal Protective League —Cleveland, OH
- $83,000 - $93,000 a year
- Weekends as needed
- Microsoft Word
- Marketing
- Customer service
Director Portfolio Management
Clearstead Advisors LLC —Cleveland, OH
- Full-time
- 7 years
- Microsoft Outlook
- Computer literacy
3d
Director, Facilities Management
Safelite Group —Columbus, OH
- Full-time
- Hybrid work
- Office
- US work authorization
- Contracts
- Paid holidays
- Health insurance
4d
Consultant, Fintech Platforms
Nationwide —Columbus, OH
- 8 hour shift
- Remote
- Bachelor's degree
- Continuous improvement
- US work authorization
- Paid holidays
- Disability insurance
3d
Managing Director, Yellow Cardinal Investment Banking
First Financial Bank —Kettering, OH
- Full-time
- Office
- Master's degree
- Bachelor's degree
AVP, Infrastructure & Operations
Safelite Group —Columbus, OH
- Full-time
- Hybrid work
- Computer science
- Azure
- Computer Science
- Paid holidays
- Health insurance
Branch Manager
KEMBA Financial Credit Union —Columbus, OH
- $72,000 - $105,000 a year
- Full-time
- Mid-level
- Organizational skills
- 1 year
- Cell phone reimbursement
Quick Apply
Managing Director, Investment Banking at Yellow Cardinal
First Financial Bank —Worthington, OH
- Full-time
- Management
- Research
- Office
Senior Vice President, Trust Officer
Midwest Trust Company —Westerville, OH
- 7 years
- Office
- Finance
Quick Apply
13d
Tax Associate Director - High Net Worth Individuals
Dean Dorton —West Chester, OH
- Full-time
- Hybrid work
- Microsoft Outlook
- CPA
- Research
- Profit sharing
- Wellness program
Quick Apply
13d

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Associate Director of Compliance - Wealth Management
Growth Suite Consulting —Cleveland, OH
You’ll own real judgment calls — reading risk in live situations, making the decision, and building the credibility with Financial Representatives that makes…
$60,000 - $72,500 a year
Quick Apply
Financial Advisor
KEMBA Financial Credit Union —Columbus, OH
On a self-direct basis, continues to improve individual level of competency through training and certification on established educational programs.
$48,000 a year
Quick Apply

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Financial Advisor
KEMBA Financial Credit Union —Columbus, OH
On a self-direct basis, continues to improve individual level of competency through training and certification on established educational programs.
$48,000 a year
Quick Apply
Director, Facilities Management
Safelite Group —Columbus, OH
Oversee maintenance budgeting, cost controls, and forecasting for field operations. Partner with field and health and safety teams to ensure compliance with…
4d

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associate director of compliance wealth management jobs near ohio

Associate Director of Compliance - Wealth Management

Growth Suite Consulting
Cleveland, OH

Quick Apply

Job Details

Full-time
$60,000 - $72,500 a year

Benefits

Health insurance
Dental insurance
Paid time off
Vision insurance
Professional development assistance
Retirement plan

Qualifications

Series 9/10
Wealth management
Series 7
Bachelor's degree
Attention to detail
Series 24
Critical thinking
Series 63
Interpersonal communication

Full Job Description

Associate Director of Supervision

Location: Cleveland, Ohio

This role provides a supervision leadership seat with real ownership — and a front-row view of how a top network office runs.

The Opportunity

You’ll partner directly with the Director/Chief/MP to shape how supervision and risk management work across the Northern Ohio office — not just carry out someone else’s plan. You’ll own real judgment calls — reading risk in live situations, making the decision, and building the credibility with Financial Representatives that makes the decision stick. It’s a rare vantage point on the business and a proven path to broader field leadership.

Who we are

For years, we've helped families and businesses across Northern Ohio reach their financial goals. Our version of financial planning brings the right insurance and investment strategies together, so our clients can do the things that matter most, with the ones who matter most. We take the same approach with our people — you’ll be supported, developed, and guided every step of the way.

What You’ll Do

Run on-site inspections, client file reviews, and compliance interviews with Financial Representatives and their teams
Own the books and records for our Offices of Supervisory Jurisdiction, Registered Branch Offices, and field locations — keeping us audit-ready under FINRA requirements
Be the go-to advisor for Financial Representatives and field staff on risk management, regulatory change, policy, and documentation
Lead training that raises the compliance bar across the network office

The Impact You’ll Have

Drive the office risk score down
Increase client persistency across the office
Build a culture where compliance is second nature

Qualifications

Bachelor's degree required in related field
FINRA licenses – Series 7, 9, 10, 63 (required within 3 months); or could have Series 7, 24, 4, 53 and 63
3-5 years of experience in wealth management/compliance/audit role
Some insurance and investment knowledge is ideal
Critical thinking skills
Exceptional interpersonal and communication skills, with the confidence to navigate tough conversations directly and professionally
Detail-oriented, high integrity professional who is a lifelong learner. Willing to obtain additional certifications
People-friendly personality with a positive approach to work
Growth mindset is important

Compensation

Base salary: $60,000 - $72,500, commensurate with credentials and experience

Benefits

Health
Vision
Dental
Retirement plan
Paid time off

Growth Path

This person will have the ability to learn and develop in this role through becoming fully qualified through licenses. Long term this role could lead into a Director of Supervision or Growth and Development Director.

Work Environment

In-office role: Monday – Friday, 8am – 5 pm
Quarterly travel expectations: travel to 5 offices in Ohio and 3-5 offices for case file reviews (day trips)
This role is a position where the incumbent is looking for a long-term career – ownership and commitment are important

Pay: $60,000.00 - $72,500.00 per year

Benefits:

Dental insurance
Health insurance
Professional development assistance
Retirement plan
Vision insurance

Education:

Bachelor's (Preferred)

Experience:

wealth management/financial services: 3 years (Preferred)

License/Certification:

Series 24 (Required)
Series 7 (Preferred)

Ability to Commute:

Cleveland, OH 44113 (Preferred)

Willingness to travel:

25% (Preferred)

Work Location: In person

Quick Apply

Refine Your Search

associate director of compliance wealth management jobs in ohio

Associate Director of Compliance - Wealth Management

Financial Advisor

Operations Associate

Director Of Major Giving

Director Portfolio Management

Director, Facilities Management

Consultant, Fintech Platforms

Managing Director, Yellow Cardinal Investment Banking

AVP, Infrastructure & Operations

Branch Manager

Managing Director, Investment Banking at Yellow Cardinal

Senior Vice President, Trust Officer

Tax Associate Director - High Net Worth Individuals

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