Sales and Distribution Compliance - Senior Vice President
iCapitalGreenwich, Connecticut, United States · Posted 4 months agoDescription
About the Role
iCapital is looking to hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within the Regulatory and Compliance group. This individual supports the Chief Compliance Officer in the oversight, management, and execution of the broker‑dealer’s comprehensive compliance program. This role plays a critical leadership function in ensuring adherence to FINRA rules, SEC regulations, and other applicable laws governing broker‑dealer activities, with particular emphasis on the distribution of alternative investments, structured investments, and annuity products.
Responsibilities will include strategic direction, supervisory oversight, and day‑to‑day compliance leadership across sales practices, product governance, supervision, regulatory engagement, and compliance operations. The position requires a seasoned compliance professional capable of partnering with senior business leaders while exercising sound regulatory judgment in complex and evolving areas of risk.
Responsibilities
- Assist the CCO in designing, implementing, and maintaining an effective broker dealer compliance program consistent with FINRA and SEC expectations.
- Provide senior level oversight of key compliance functions, including supervision, surveillance, investigations, regulatory reporting, and compliance testing.
- Serve as a key escalation point for material compliance issues, supervisory concerns, and regulatory risk matters.
- Oversee compliance 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 frameworks from a broker dealer compliance perspective.
- Manage the development, maintenance, and enforcement of Written Supervisory Procedures (WSPs).
- Partner with business leadership to enhance supervisory controls and address identified gaps.
- Manage and coordinate responses to regulatory examinations, inquiries, and findings, as applicable, ensure timely remediation, and track corrective action plans.
- Monitor regulatory developments impacting broker dealer operations, complex product distribution, and sales practices.
- Collaborate across various business lines on new marketing initiatives, providing compliance guidance.
- Mentor and develop compliance staff, fostering depth, continuity, and subject matter expertise within the compliance function.
- Promote a strong culture of compliance and ethical conduct across the organization.
Qualifications
- 12-15+ years of relevant experience
- Significant experience in a FINRA‑registered broker‑dealer environment, including leadership or supervisory responsibility
- Demonstrated expertise in alternative investments, structured investments, or annuities from a compliance or regulatory perspective
- Strong working knowledge 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 with the ability to influence senior stakeholders and business partners
- Excellent written and verbal communication skills
- Thrives in a fast-paced environment with a continuous learning mindset
- Self-motivated with robust project management and process development skills
- Sound judgment, strong ethics, and the ability to manage sensitive and confidential matters
- JD is a plus
- Series 24 license upon hire or obtain within 90 days of hire
Benefits
The base salary range for this role is $190,000 to $225,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).
We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.
For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/
iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.
Similar jobs
Est. 162,500 USD
About the Role iCapital is looking to hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within the Regulatory and Compliance group. This individual supports the Chief Compliance Offi…
Est. 207,500 USD
About the Role iCapital is seeking a Senior Vice President to join its Regulatory and Compliance team to manage iCapital’s registered 1940 Act product compliance program. This role will work closely with the senior portf…
Est. 175,000 USD
About the Role iCapital is looking to hire a Vice President to join the Alternatives Distribution team. This individual will be responsible for supporting iCapital National Account efforts to proactively grow business an…
Est. 162,500 USD
About the Role iCapital is looking for a Vice President candidate to join its Regulatory and Compliance team to work with senior members of the Compliance team. The candidate will be responsible for ensuring compliance w…
Est. 170,000 USD
About the Role iCapital is looking for an Investor Onboarding and Regulatory Review VP to join its Regulatory and Compliance team to review investor subscription materials submitted in relation to investments in private…
Est. 82,500 USD
About the Role iCapital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This individual will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compl…
Est. 175,000 USD
About the Role iCapital is looking to hire a Vice President to join the Alternatives Distribution team. This individual will be responsible for supporting iCapital National Account efforts to proactively grow business an…
Est. 207,500 USD
About the Role iCapital is seeking a Senior Vice President to join its Regulatory and Compliance team to manage iCapital’s registered 1940 Act product compliance program. This role will work closely with the senior portf…
Est. 120,000 USD
About the Role iCapital is looking to hire an Associate or Assistant Vice President to join the Structured Investments team. The ideal candidate will support client management and business development efforts across the…
Est. 185,000 USD
About the Role iCapital is looking to hire a Vice President to join the Structured Investments team. This role will support the Structured Investments team, within the firm’s technology platform, by owning, developing, a…
Est. 80,000 USD
About the Role iCapital is looking for a Client Delivery Specialist Associate to join the Data Solutions team. This role will set up and maintain the financial software applications we utilize, assist clients with issues…
Est. 82,500 USD
About the Role iCapital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This individual will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compl…
Est. 75,000 USD
About the Role iCapital is looking to hire an Analyst Account Executive who will work on the front lines of iCapital’s growth. As a foundational member of the Sales team, this individual will be responsible for turning q…
Est. 110,000 USD
About the Role iCapital is looking to hire an Assistant Vice President Account Executive who will work on the front lines of iCapital’s growth. As a foundational member of the Sales team, this individual will be responsi…
Est. 105,000 USD
About the Role iCapital is looking for a Client Delivery Specialist, Assistant Vice President to join the Data Solutions team. iCapital is looking to hire a Client Delivery Specialist, Assistant Vice President to join th…
Est. 162,500 USD
About the Role iCapital is seeking a Senior Client Relationship Manager, Vice President. This individual is responsible for leading sales coverage in Illinois, Minnesota and Wisconsin based in Chicago. This role is part…
Est. 180,000 USD
iCapital is seeking a highly motivated, outgoing, and experienced Business Development professional to join the Relationship Management team developing iCapital’s enterprise presence in the US wealth channel. This team d…
Est. 140,000 USD
About the Role iCapital is looking for an Investor Onboarding and Regulatory Review VP to join its Regulatory and Compliance team to review investor subscription materials submitted in relation to investments in private…
Est. 160,000 USD
iCapital is looking to hire a Vice President to join the team developing iCapital’s enterprise presence across the US wealth management industry. This team develops and manages relationships with iCapital’s largest clien…
Est. 120,000 USD
About the Role iCapital is looking to hire an Associate or Assistant Vice President to join the Structured Investments team. The ideal candidate will support client management and business development efforts across the…
Est. 165,000 USD
About the Role iCapital is looking to hire a Product Manager Assistant Vice President or Vice President professional to help manage its alternatives-focused model portfolios initiatives. This role will support the Team L…
Est. 185,000 USD
About the Role iCapital is looking to hire a Vice President to join the Structured Investments team. This role will support the Structured Investments team, within the firm’s technology platform, by owning, developing, a…
Est. 195,000 USD
About the Role iCapital is looking to hire a Vice President/Senior Vice President to join the Structured Investments team. This role will support the Structured Investments team, within the firm’s technology platform, by…
Est. 162,500 USD
About the Role iCapital is seeking a Senior Client Relationship Manager, Vice President. This individual is responsible for leading sales coverage in Northern Texas and Oklahoma based in Dallas/Fort Worth area. This role…
Est. 190,000 USD
About the Role iCapital is seeking two mid-senior level investment professionals for its portfolio management team, who will each be responsible for building and managing an evergreen portfolio comprised of private equit…
Est. 80,000 USD
About the Role iCapital is looking for a Client Delivery Specialist Associate to join the Data Solutions team. This role will set up and maintain the financial software applications we utilize, assist clients with issues…
Est. 235,000 USD
iCapital is seeking a Senior Vice President, Head of Managed Accounts and Model Portfolio Delivery to lead the packaging, development, and commercialization of the firm’s model portfolio and separately managed account (S…
Est. 167,500 USD
About the Role iCapital is looking to hire a Fund Origination Vice President to support its growing alternative investments feeder fund business. This role will report into a Senior Vice President on the Fund Origination…
Est. 127,500 USD
About the Role iCapital is seeking an Associate to join the Corporate Development and Strategy team. The individual will join a highly valued team responsible for evaluating, planning, and executing organic and inorganic…
Est. 127,500 USD
About the Role iCapital is transforming the retirement investment landscape and is seeking a detail-oriented, analytical Fund Accountant to support the expansion of its Collective Investment Trust (CIT) platform, with a…