Sales and Distribution Compliance, Senior Vice President

📋 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 compliance functions such as supervision, surveillance, investigations, regulatory reporting, and compliance testing; serving as a key escalation point for material compliance issues; overseeing compliance related to complex product distribution; managing Written Supervisory Procedures (WSPs); partnering with business leadership to enhance supervisory controls; managing regulatory examination responses; monitoring regulatory developments; collaborating on new marketing initiatives; mentoring compliance staff; and promoting a strong culture of compliance and ethical conduct.
• • The role is part of iCapital Network LLC’s Regulatory and Compliance group, supporting the Chief Compliance Officer in the oversight, management, and execution of the broker-dealer’s comprehensive compliance program within a FINRA-registered environment.
• • The individual will have the opportunity to lead and shape compliance strategy for complex financial products, influence senior stakeholders, develop deep expertise in alternative investments and structured products, mentor a compliance team, and drive organizational integrity through sound regulatory judgment and proactive risk management.