iCapital Network
Sales and Distribution Compliance - Senior Vice President
$150K–$175K
Salt Lake City, Utah, United States +2 · Director · Full-time · Posted Apr 9, 2026
- Location
- Salt Lake City, Utah, United States
Greenwich, Connecticut, United States
New York, New York, United States - Experience
- 12-15+ years of relevant experience.
About the job
Leads broker-dealer distribution compliance, overseeing the compliance program and sales practices for alternative investments, structured products, and annuities.
What you'll do
- Support the CCO in managing the broker-dealer compliance program, including supervision, surveillance, investigations, reporting, and testing.
- Oversee product due diligence, approval, monitoring, Written Supervisory Procedures, and compliance controls for complex product distribution.
- Coordinate regulatory examinations and responses, monitor regulatory developments, and mentor compliance staff.
What they ask for
- Significant experience in a FINRA-registered broker-dealer, including leadership or supervisory responsibility.
- 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.
- Series 24 license upon hire or obtain within 90 days of hire.
Nice to have
- JD.
Pay
$150,000 to $175,000 (base salary).
Tools
FINRA, SEC, Written Supervisory Procedures (WSPs), Series 24
Model-written summary · the original posting is authoritative