Sales and Distribution Compliance - Senior Vice President

Responsibilities

• Aid the CCO in creating, implementing, and sustaining a robust broker-dealer compliance program aligned with FINRA and SEC guidelines.
• Provide senior-level oversight of key compliance functions 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.
• Support product due diligence, approval, and ongoing monitoring from a broker-dealer compliance standpoint.
• Manage the creation, maintenance, and enforcement of Written Supervisory Procedures (WSPs).
• Collaborate with business leadership to improve 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 changes affecting broker-dealer operations, complex product distribution, and sales practices.
• Collaborate across various business units on new marketing initiatives, offering compliance guidance.
• Mentor and develop compliance staff, enhancing depth, continuity, and subject matter expertise within the compliance function.
• Promote a strong culture of compliance and ethical conduct throughout the organization.

Qualifications

• 12-15+ years of relevant experience, including leadership or supervisory roles in a FINRA-registered broker-dealer environment.
• Significant expertise in alternative investments, structured investments, or annuities from a compliance or regulatory perspective.
• Thorough understanding of FINRA rules, SEC regulations, suitability standards, and complex product oversight.
• Experience managing regulatory exams, enforcement matters, and senior-level regulatory interactions.
• Proven leadership skills, able to influence senior stakeholders and business partners.
• Exceptional written and verbal communication abilities.
• Ability to thrive in a fast-paced environment with a continuous learning mindset.
• Strong project management and process development skills.
• Solid judgment, strong ethics, 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

• Base salary range: $190,000 to $225,000
• Equity for all full-time employees
• Annual performance bonus
• Comprehensive benefits package including:
• Employer-matched retirement plan
• Subsidized healthcare with 100% employer-paid dental, vision, telemedicine, and virtual mental health counseling
• Parental leave
• Unlimited paid time off (PTO)

Schedule

• Work in the office Monday-Thursday, with flexibility to work remotely on Fridays.

Company Information

For more information about iCapital, visit www.icapitalnetwork.com/about-us. Follow us on Twitter at @icapitalnetwork and LinkedIn at https://www.linkedin.com/company/icapital-network-inc.

Note: iCapital is committed to being an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based on race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, or status as an individual with a disability.