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Broker Dealer Compliance, Distribution - Senior Vice President

New York, New York, United States

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.

 

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