Senior VP, Broker-Dealer Compliance & Distribution

iCapital; Greenwich (CT); Hybrid; USD 190,000 - 225,000; Full time

Benefits offered by this job

Employer-matched retirement plan

100% employer-paid dental and vision

Unlimited paid time off (PTO)

Job summary

A leading financial services firm in Connecticut is seeking a Senior Vice President for the Broker Dealer and Distribution Compliance team. This role includes designing and maintaining compliance programs, overseeing key compliance functions, and mentoring staff. Candidates should have 12-15+ years of relevant experience, particularly in a FINRA-registered environment, and possess strong leadership and communication skills. A comprehensive benefits package and competitive salary are offered, with a salary range of $190,000 to $225,000.

Qualifications

• Experience in a FINRA-registered broker-dealer environment.
• Proven ability to influence senior stakeholders.
• Strong expertise in alternative investments and compliance.

Responsibilities

• Design and maintain broker dealer compliance program.
• Oversight of compliance functions and regulatory reporting.
• Mentor and develop compliance staff for strong ethical conduct.

Skills

Leadership skills

Regulatory compliance expertise

Excellent communication skills

Project management skills

Judgment and ethics

Education

12-15+ years of relevant experience

JD preferred

Tools

FINRA rules

SEC regulations

Job description

A leading financial services firm in Connecticut is seeking a Senior Vice President for the Broker Dealer and Distribution Compliance team. This role includes designing and maintaining compliance programs, overseeing key compliance functions, and mentoring staff. Candidates should have 12-15+ years of relevant experience, particularly in a FINRA-registered environment, and possess strong leadership and communication skills. A comprehensive benefits package and competitive salary are offered, with a salary range of $190,000 to $225,000.