Sales And Distribution Compliance, Senior Vice President
iCapitalnetwork
Greenwich, United States
Base: $190,000 to $225,000; bonus/equity: annual p...
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Finra registered broker-dealer experience
Alternative investment distribution compliance
Sec regulations and suitability standards
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iCapital is seeking a Senior Vice President for the Broker Dealer and Distribution Compliance team, responsible for overseeing compliance with FINRA and SEC regulations, particularly related to alternative investments and structured products. The role emphasizes leadership, regulatory engagement, and mentorship within the compliance function.
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Job Summary
This role supports the Chief Compliance Officer in overseeing the broker-dealer's comprehensive compliance program for alternative investments.
The position requires managing responses to regulatory examinations, inquiries, and ensuring timely remediation of findings.
Employees receive a comprehensive benefits package including unlimited paid time off, employer-matched retirement, and generous healthcare coverage.
Matching Summary
Match Score: 75
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iCapital is seeking a Senior Vice President for the Broker Dealer and Distribution Compliance team, responsible for overseeing compliance with FINRA and SEC regulations, particularly related to alternative investments and structured products. The role emphasizes leadership, regulatory engagement, and mentorship within the compliance function.
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Salary
Base: $190,000 to $225,000; Bonus/Equity: Annual performance bonus and equity for all full-time employees; Benefits: Employer matched retirement plan, subsidized healthcare, unlimited PTO