Top 3 Compliance officer Jobs in Willoughby, Oh

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
Director - Compliance Consulting
WTW —Cleveland, OH
- $95,000 - $165,000 a year
- Full-time
- Management
- HIPAA
- Bachelor's degree
- Paid jury duty
- Health savings account
11d

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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

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compliance officer jobs in willoughby, oh

Associate Director of Compliance - Wealth Management

Director - Compliance Consulting

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