Job Overview
Location
Salt Lake City, Utah, United States
Job Type
Full-time
Category
HR & Recruiting
Date Posted
April 21, 2026
Full Job Description
đź“‹ Description
- • The Sales and Distribution Compliance, Senior Vice President role at iCapital Network LLC is a critical leadership position supporting the Chief Compliance Officer in overseeing the broker-dealer’s comprehensive compliance program, with a focus on ensuring adherence to FINRA, SEC, and other regulatory requirements governing the distribution of alternative investments, structured products, and annuities.
- • Day to day, the SVP will provide senior oversight of compliance functions including supervision, surveillance, investigations, regulatory reporting, and compliance testing; serve as a key escalation point for material compliance issues; oversee compliance related to complex product distribution; manage Written Supervisory Procedures (WSPs); partner with business leadership to enhance supervisory controls; manage regulatory examination responses; monitor regulatory developments; collaborate on new marketing initiatives; mentor compliance staff; and promote a strong culture of compliance and ethical conduct.
- • iCapital Network LLC is a financial technology platform specializing in alternative investments, operating as a FINRA-registered broker-dealer, and is committed to maintaining rigorous compliance standards while fostering innovation and collaboration across its organization.
- • In this role, the individual will develop deep expertise in broker-dealer compliance for complex financial products, strengthen leadership and influence capabilities with senior stakeholders, drive regulatory excellence and operational improvements in compliance functions, and contribute to building a best-in-class compliance culture that supports sustainable business growth and regulatory trust.
🎯 Requirements
- • 12-15+ years of relevant experience in compliance, with 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
- • Self-motivated with robust project management and process development skills
- • Sound judgment, strong ethics, and ability to manage sensitive and confidential matters
- • JD is a plus
- • Series 24 license required upon hire or obtainable within 90 days of hire
🏖️ Benefits
- • Base salary range of $150,000 to $175,000, plus equity for all full-time employees and an annual performance bonus
- • Comprehensive benefits package including employer-matched retirement plan, generously subsidized healthcare, 100% employer-paid dental, vision, telemedicine, and virtual mental health counseling
- • Parental leave and unlimited paid time off (PTO)
- • Hybrid work schedule: office Monday-Thursday with remote flexibility on Friday
Skills & Technologies
About iCapital Network LLC
iCapital Network operates a global financial technology platform that provides alternative investment access and education to financial advisors and high-net-worth investors. Founded in 2013, the company connects advisors with private equity, hedge funds, private credit, and other alternative strategies through integrated technology, research, and operational support, reducing administrative burden and enabling streamlined subscription, reporting, and portfolio management processes while maintaining institutional-grade compliance and transparency standards across the investment lifecycle.
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