Sales and Distribution Compliance - Senior Vice President

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

Requirements

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; Series 24 license upon hire or obtain within 90 days of hire

Nice to have

JD is a plus

Benefits

Equity for all full-time employees; Annual performance bonus; Employer matched retirement plan; Generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling; Parental leave; Unlimited paid time off (PTO)