Wealth Management Risk & Compliance Lead - Principal Consultant

Capco New York , NY 10007

Posted 2 months ago

About the team

Capco's Wealth and Asset Management practice supports clients stay ahead of industry trends and consequently define and deliver on their future business strategy. This allows Capco to support the complete value chain from defining their growth strategy, platform design, product shelf and advisor experience design. Additionally, in light of cost pressures, Capco continues to support wealth and asset managers optimize operating models and service models to drive efficiencies.

About the Job

As a Principle Consultant at Capco you will be playing a key role in the delivery of projects, working on client site to deliver large-scale change initiatives for leading clients across Financial Services, within Wealth and Insurance. Fitting that description, you will also need to be supremely personally motivated to work in a dynamic team environment.

What you'll get to do

  • Utilize expert knowledge in financial planning, including but not limited to goals-based planning, asset allocation, retirement planning, and education funding

  • Employ knowledge of the securities industry, including investment and insurance products and services, and Reg BI

  • Manage small to mid-sized projects and teams of consultants, taking oversight of delivery work and ensuring client satisfaction

  • Identify new opportunities and support sales activities to both new and existing clients

  • Manage client relationships, overseeing the implementation and quality control of projects with regards to both budget and content

  • Act as a trusted adviser to clients by developing and maintaining strong relationships with stakeholders at all levels of organizations

  • Structure and build quantitative and qualitative/conceptual analyses


  • 6+ years consulting experience in risk/compliance topics required

  • 4+ years of experience from a premier management consulting firm preferred

  • Experience at top-tier industry firm in wealth management, FINRA and SEC broker dealer and investment advisor regulations, including Reg BI

  • Knowledge of key issues and regulations in Financial Services Risk Management and Compliance

  • Diverse problem-solving experience, such as experience with a top management consulting firm or in other generalist problem solving environments across financial services sectors

  • Outstanding ability to analyze problems, apply quantitative analytical approaches, communicate effectively and confidently (both oral and written), work well in cross-functional teams

  • Openness to an environment of active developmental feedback from peers

  • Excellent and efficient skills using MS Excel and PowerPoint tools (absolutely required)


You will join a company that supports and encourages an entrepreneurial outlook and independent thinking. Capco is not about organizational charts and layers we operate with little hierarchy because we want all employees to feel that Capco is their firm.

We offer highly competitive benefits, including medical, dental and vision insurance, a 401(k) plan, tuition reimbursement, and a work culture focused on innovation and creation of lasting value for our clients and employees.

Ready to take the Next Step?

If this sounds like you, we would love to hear from you. This is an opportunity to make a difference and contribute to a highly successful company with a significant growth trajectory.

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Wealth Management Risk & Compliance Lead - Principal Consultant