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Wealth Management Compliance Professionals

Exploring This Job

If the terms “asset allocation,” “index,” “mid caps,” and “blue chips” seem like a foreign language to you, then a glossary is a good place to start as you explore the world of wealth management. The investment bank UBS offers a useful glossary of WM terms at https://www.ubs.com/microsites/wma/insights/en/glossary-of-terms.html. Visit your local library to check out books such as Essential Strategies for Financial Services Compliance (John Wiley & Sons, 2015), which provides a detailed overview of the types of issues compliance professionals face every day. Another good resource is the ACA Compliance Group's blog, https://www.acacompliancegroup.com/blog. Talk to compliance professionals about their careers. Ask them the following questions:

  • What do you like most and least about your career?
  • What’s the best strategy for people to land jobs in the industry?
  • What’s the best way to network in this industry?
  • How is the wealth management industry changing? What can students do now to improve their chances of landing a job?
  • Can you recommend anyone else that I can talk to about career paths and the job search?  
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