Sales and Distribution Compliance - Senior Vice President

Responsibilities

• Aid the CCO in establishing, implementing, and sustaining a robust broker-dealer compliance program aligned with FINRA and SEC guidelines.
• Provide comprehensive oversight of key compliance areas such as supervision, surveillance, investigations, regulatory reporting, and compliance testing.
• Act as a primary point of contact for significant compliance issues, supervisory concerns, and regulatory risks.
• Oversee compliance aspects related to the distribution of alternative investments, structured products, and annuities, including private placements and complex products.
• Manage the creation, upkeep, and enforcement of Written Supervisory Procedures (WSPs).
• Collaborate with business leadership to strengthen supervisory controls and address identified gaps.
• Coordinate responses to regulatory examinations, inquiries, and findings, ensuring timely remediation and tracking corrective action plans.
• Maintain awareness of regulatory trends affecting broker-dealer operations, complex product distribution, and sales practices.
• Participate in new marketing initiatives, offering compliance guidance to business teams.
• Mentor and develop compliance staff, enhancing their depth, continuity, and subject matter expertise.
• Promote a strong culture of compliance and ethical conduct throughout the organization.

Qualifications

• At least 12-15 years of relevant experience, including leadership or supervisory roles in a FINRA-registered broker-dealer setting.
• Exceptional understanding of alternative investments, structured investments, or annuities from a compliance or regulatory standpoint.
• Thorough knowledge of FINRA rules, SEC regulations, suitability standards, and complex product oversight.
• Proven ability to manage regulatory exams, enforcement matters, and senior-level regulatory interactions.
• Strong leadership skills to influence senior stakeholders and business partners.
• Outstanding written and verbal communication abilities.
• Ability to thrive in a dynamic, fast-paced environment with a continuous learning attitude.
• Proficient in project management and process development.
• Sound judgment, high ethical standards, and capability to handle sensitive and confidential matters.
• A JD degree is preferred, and a Series 24 license must be obtained within 90 days of hire.

Benefits

• The base salary range for this role is $190,000 to $225,000.
• iCapital provides a competitive compensation package, including salary, equity for all full-time employees, and an annual performance bonus.
• The benefits package includes an employer-matched retirement plan, generous healthcare coverage with 100% employer-paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).
• Employees can work in the office Monday through Thursday, with flexibility to work remotely on Fridays.