Job Overview
Location
New York, New York, United States
Job Type
Full-time
Category
HR & Recruiting
Date Posted
April 21, 2026
Full Job Description
đź“‹ Description
- • The Senior Vice President of Sales and Distribution Compliance plays a critical leadership role in ensuring adherence to FINRA rules, SEC regulations, and other applicable laws governing broker-dealer activities, with a focus on the distribution of alternative investments, structured investments, and annuity products.
- • Day-to-day responsibilities include providing senior-level oversight of supervision, surveillance, investigations, regulatory reporting, and compliance testing; serving as a key escalation point for material compliance issues; managing responses to regulatory examinations; monitoring regulatory developments; and mentoring compliance staff to foster expertise and a strong compliance culture.
- • The role is part of iCapital Network LLC’s Regulatory and Compliance group, supporting the Chief Compliance Officer in designing, implementing, and maintaining an effective broker-dealer compliance program, and partnering with business leadership to enhance supervisory controls and address compliance gaps.
- • The individual will develop deep expertise in complex product distribution compliance, influence senior stakeholders, and lead efforts to promote ethical conduct and regulatory excellence across the organization, with opportunities to shape compliance strategy and mentor high-performing teams.
🎯 Requirements
- • 12-15+ years of relevant 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
- • Proven leadership skills with the ability to influence senior stakeholders and business partners
- • Excellent written and verbal communication skills
- • Series 24 license upon hire or obtainable within 90 days of hire
🏖️ Benefits
- • Base salary range of $190,000 to $225,000, 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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