Senior Level Wealth Management Associate Jobs
Senior level wealth management associate jobs place experienced professionals in charge of client portfolio strategy, relationship ownership, and the advisory workflows that drive outcomes for high-net-worth clients. Openings are concentrated across Investment & Asset Management, Banking & Financial Services, and Fintech, with a 33% remote and hybrid share, and employers like JPMorganChase, PwC, and Regions Bank hiring at this level now.
Find JobsOverview
Open roles20
Top stateNew York
Top employerJPMorganChase
Top cityNew York, NY
Work type67% On-site
Top industryInvestment
Showing 5 of 20+ Senior Level Wealth Management Associate jobs
Director, Wealth Management Compliance
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Added 2d ago
Charles Schwab
Director, Wealth Management Compliance
Southlake, Texas
Added 2d ago
Senior Associate or Vice President, Wealth Management
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Added 1w ago
Adams Street Partners
Senior Associate or Vice President, Wealth Management
New York, New York
Added 1w ago
Wealth Management Advisor
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Added 2w ago
Maxim Group LLC
Wealth Management Advisor
New York City Metropolitan Area
Added 2w ago
Wealth Management Advisor
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Added 2w ago
Maxim Group LLC
Wealth Management Advisor
Miami-Fort Lauderdale Area
Added 2w ago
Senior Credit Underwriter - Custom Lending - Global Wealth & Investment Management
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Added 3w ago
Bank of America
Senior Credit Underwriter - Custom Lending - Global Wealth & Investment Management
St. Louis, Missouri
Added 3w ago
Added 2d ago
Director, Wealth Management Compliance
Charles Schwab·Southlake, Texas
Job functions:
$150k - $200k/yr
10+ yrs exp.
Hybrid
Bachelor's degree
Full Time
10,000+ employees
Job Description
Southlake, TX ; Austin, TX ; Omaha, NE ; Orlando, FL
Requisition ID 2026-126835 Category Legal & Compliance Position type Regular Pay range USD $150,000.00 - $200,000.00 / Year Application deadline 2026-09-28Your opportunity
At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.
In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the firm. The Compliance Department advises on applicable federal and state rules and regulations, supervisory systems, and policies and procedures; liaises with regulators; provides guidance on communications with the public; conducts surveillance and investigations to monitor for compliance with firm policies and procedures; processes and maintains firm and employee registrations; and, performs a variety of other compliance functions.
In this individual contributor role, you will join a dynamic team that collaboratively partners with members of Wealth and Asset Management Compliance and a variety of internal stakeholders to support the growth and expansion of Schwab’s wealth management business. You will focus on: (a) strategic initiatives related to the investment advisory activities of Schwab, a dual-registered investment adviser and broker-dealer, and Schwab Wealth Advisory, Inc., (SWAI), a registered investment adviser; (b) providing thought leadership and compliance guidance to associates and leaders responsible for a number of Schwab’s advisory offers and products, including a third party adviser referral network, specialized wealth partnerships, wrap programs, model portfolio platform, and SWAI’s portfolio transition services; and (c) maintaining and continually evolving the investment adviser compliance programs for Schwab and SWAI.
The work is dynamic, and success is achieved through: (i) strong collaboration and the ability to foster meaningful and deep relationships across the enterprise; (ii) prioritizing and timely addressing numerous efforts simultaneously; (iii) a growth mindset and adaptability; (iv) a desire to create innovative solutions that benefit our clients and the firm; and, (v) serving as a resource and mentor for other members of the Wealth and Asset Management Compliance team. If you exhibit these qualities, possess an aptitude for continual learning, and want to be an instrumental partner focused on advancing Schwab’s wealth management business, we encourage you to .
Primary Responsibilities:
- Utilize broad and deep knowledge to provide high caliber compliance advice and guidance on a variety of topics associated with Schwab’s wealth management business
- Influence and strategically guide compliance, regulatory, and business initiatives associated with Schwab’s advisory programs, recommending creative solutions that advance the business
- Execute compliance monitoring activities for adherence to regulatory requirements and internal policies
- Partner with the adviser Chief Compliance Officers to ensure comprehensive and robust compliance programs for SWAI and Schwab, identifying opportunities for enhancement and increased efficiency
- Identify, investigate, and assist in the resolution of potential compliance issues, including those that are the most complex and ambiguous
- Interpret and assess laws, rules, and regulations affecting the operation of the wealth management organization
- Review adviser disclosure documents (e.g. Form ADV) and marketing collateral
- As needed, support and participate in internal audits, risk assessments, and relevant regulatory exams
- Contribute to additional projects and tasks based on business and Compliance needs
What you have
Required Qualifications and Skills:
Relevant Education and Work Experience
- 10+ years of direct wealth management compliance, risk, and/or audit experience with broad and deep knowledge of the Investment Advisers Act of 1940, and relevant federal and state securities laws, rules, and regulations
- Experience providing advice and guidance to registered investment advisers and wrap fee program sponsors, with expertise in managing compliance risk effectively
- Previous involvement in strategic initiatives and significant projects, including those involving senior leaders across an enterprise
- Other relevant wealth management experience may be considered
Skills
- Exceptional at analyzing and creatively solving ambiguous and complex matters with an understanding of how those solutions impact the broader ecosystem
- Excel at developing strong and meaningful networks and partnerships across the organization, establishing trust and confidence with a diverse group of stakeholders
- Adept at influencing outcomes, thinking strategically, and proactively taking initiative
- Comfortable working independently and as a member of a geographically dispersed team
- Highly organized and meticulous, collaborative, and excited to continually learn in a dynamic and growing organization
- Change leader with a positive attitude and forward-thinking approach
- Superb writing, verbal, and interpersonal skills that are effective with a variety of audiences
- Outstanding judgment, strong work ethic, thought leadership, and unwavering integrity
Preferred Qualifications:
- Bachelor’s degree, with advanced degree or education viewed favorably
- Investment Adviser Certified Compliance Professional (IACCP®) designation or FINRA Series 65 or 66 licenses a plus
- Knowledge of ERISA, relevant tax laws, FINRA rules, and Regulation Best Interest
- Experience participating in, and presenting to, internal governance committees
- Strong understanding of Schwab’s product landscape, including product creation and distribution channels
What’s in it for you
At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
- 401(k) with company match and Employee stock purchase plan
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
- Paid parental leave and family building benefits
- Tuition reimbursement
- Health, dental, and vision insurance
Share:
- X
Eligible Schwabbies receive
Medical, dental and vision benefits
401(k) and employee stock purchase plans
Tuition reimbursement to keep developing your career
Paid parental leave and adoption/family building benefits
Sabbatical leave available after five years of employment
Charles Schwab
Director, Wealth Management Compliance
Southlake, Texas
Added 2d ago10,000+ employees
Job functions:
$150k - $200k/yr
10+ yrs exp.
Hybrid
Bachelor's degree
Full Time
Job Description
Southlake, TX ; Austin, TX ; Omaha, NE ; Orlando, FL
Requisition ID 2026-126835 Category Legal & Compliance Position type Regular Pay range USD $150,000.00 - $200,000.00 / Year Application deadline 2026-09-28Your opportunity
At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.
In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the firm. The Compliance Department advises on applicable federal and state rules and regulations, supervisory systems, and policies and procedures; liaises with regulators; provides guidance on communications with the public; conducts surveillance and investigations to monitor for compliance with firm policies and procedures; processes and maintains firm and employee registrations; and, performs a variety of other compliance functions.
In this individual contributor role, you will join a dynamic team that collaboratively partners with members of Wealth and Asset Management Compliance and a variety of internal stakeholders to support the growth and expansion of Schwab’s wealth management business. You will focus on: (a) strategic initiatives related to the investment advisory activities of Schwab, a dual-registered investment adviser and broker-dealer, and Schwab Wealth Advisory, Inc., (SWAI), a registered investment adviser; (b) providing thought leadership and compliance guidance to associates and leaders responsible for a number of Schwab’s advisory offers and products, including a third party adviser referral network, specialized wealth partnerships, wrap programs, model portfolio platform, and SWAI’s portfolio transition services; and (c) maintaining and continually evolving the investment adviser compliance programs for Schwab and SWAI.
The work is dynamic, and success is achieved through: (i) strong collaboration and the ability to foster meaningful and deep relationships across the enterprise; (ii) prioritizing and timely addressing numerous efforts simultaneously; (iii) a growth mindset and adaptability; (iv) a desire to create innovative solutions that benefit our clients and the firm; and, (v) serving as a resource and mentor for other members of the Wealth and Asset Management Compliance team. If you exhibit these qualities, possess an aptitude for continual learning, and want to be an instrumental partner focused on advancing Schwab’s wealth management business, we encourage you to .
Primary Responsibilities:
- Utilize broad and deep knowledge to provide high caliber compliance advice and guidance on a variety of topics associated with Schwab’s wealth management business
- Influence and strategically guide compliance, regulatory, and business initiatives associated with Schwab’s advisory programs, recommending creative solutions that advance the business
- Execute compliance monitoring activities for adherence to regulatory requirements and internal policies
- Partner with the adviser Chief Compliance Officers to ensure comprehensive and robust compliance programs for SWAI and Schwab, identifying opportunities for enhancement and increased efficiency
- Identify, investigate, and assist in the resolution of potential compliance issues, including those that are the most complex and ambiguous
- Interpret and assess laws, rules, and regulations affecting the operation of the wealth management organization
- Review adviser disclosure documents (e.g. Form ADV) and marketing collateral
- As needed, support and participate in internal audits, risk assessments, and relevant regulatory exams
- Contribute to additional projects and tasks based on business and Compliance needs
What you have
Required Qualifications and Skills:
Relevant Education and Work Experience
- 10+ years of direct wealth management compliance, risk, and/or audit experience with broad and deep knowledge of the Investment Advisers Act of 1940, and relevant federal and state securities laws, rules, and regulations
- Experience providing advice and guidance to registered investment advisers and wrap fee program sponsors, with expertise in managing compliance risk effectively
- Previous involvement in strategic initiatives and significant projects, including those involving senior leaders across an enterprise
- Other relevant wealth management experience may be considered
Skills
- Exceptional at analyzing and creatively solving ambiguous and complex matters with an understanding of how those solutions impact the broader ecosystem
- Excel at developing strong and meaningful networks and partnerships across the organization, establishing trust and confidence with a diverse group of stakeholders
- Adept at influencing outcomes, thinking strategically, and proactively taking initiative
- Comfortable working independently and as a member of a geographically dispersed team
- Highly organized and meticulous, collaborative, and excited to continually learn in a dynamic and growing organization
- Change leader with a positive attitude and forward-thinking approach
- Superb writing, verbal, and interpersonal skills that are effective with a variety of audiences
- Outstanding judgment, strong work ethic, thought leadership, and unwavering integrity
Preferred Qualifications:
- Bachelor’s degree, with advanced degree or education viewed favorably
- Investment Adviser Certified Compliance Professional (IACCP®) designation or FINRA Series 65 or 66 licenses a plus
- Knowledge of ERISA, relevant tax laws, FINRA rules, and Regulation Best Interest
- Experience participating in, and presenting to, internal governance committees
- Strong understanding of Schwab’s product landscape, including product creation and distribution channels
What’s in it for you
At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
- 401(k) with company match and Employee stock purchase plan
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
- Paid parental leave and family building benefits
- Tuition reimbursement
- Health, dental, and vision insurance
Share:
- X
Eligible Schwabbies receive
Medical, dental and vision benefits
401(k) and employee stock purchase plans
Tuition reimbursement to keep developing your career
Paid parental leave and adoption/family building benefits
Sabbatical leave available after five years of employment
See All 20 Senior Level Wealth Management Associate Jobs
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Find JobsSenior Level Wealth Management Associate Job Market
Who's Hiring
Top Industries Hiring
- Investment & Asset Management
- Banking & Financial Services
- Fintech
- Law & Legal Services
- Technology & Software
Senior Level Wealth Management Associate Jobs: Frequently Asked Questions
How do I get a senior level wealth management associate job?
Employers hiring at the senior level look for candidates who have owned client relationships end-to-end, demonstrated measurable portfolio or revenue outcomes, and guided junior staff through complex situations. A CFA, CFP, or CIMA designation signals technical depth. Tailoring your experience to show leadership on high-net-worth accounts, cross-functional collaboration, and the ability to generate or retain business separates senior candidates from mid-level ones.
Which companies hire senior level wealth management associates?
Companies hiring senior level wealth management associates right now include JPMorganChase, PwC, and Regions Bank, based on current listings on Migrate Mate as of September 2026. Hiring at this level covers large wirehouse firms, regional independent advisory practices, private banks, and family offices that need seasoned professionals to manage complex client books.
Are there remote senior level wealth management associate jobs?
Yes, though many roles at this level remain hybrid given the relationship-driven nature of the work. About 33% of senior level wealth management associate openings are remote or hybrid as of September 2026, with fully remote roles more common at firms that serve clients nationally and rely on digital advisory platforms rather than in-person branch meetings.
What makes a wealth management associate role senior level?
Senior level roles are defined by independent ownership of client relationships, accountability for portfolio construction and retention outcomes, and responsibility for mentoring or guiding more junior associates. Where mid-level associates execute under supervision, senior associates set the strategy, resolve escalations, and often contribute to business development. The scope is broader, the clients are more complex, and the expectations around judgment and initiative are significantly higher.
Which industries hire the most senior level wealth management associates?
Senior level wealth management associate roles concentrate in Investment & Asset Management, Banking & Financial Services, and Fintech, based on current listings on Migrate Mate as of September 2026. These sectors drive the most hiring because they serve institutions, high-net-worth individuals, and corporate clients whose financial complexity requires experienced professionals rather than generalist advisors.