iCapital Network
Sales and Distribution Compliance - Senior Vice President
$190K–$225K
New York, New York, United States +2 · Director · Full-time · Posted Apr 9, 2026
- Location
- New York, New York, United States
Greenwich, Connecticut, United States
Salt Lake City, Utah, United States - Experience
- 12–15+ years of relevant experience.
About the job
Leads broker-dealer distribution compliance, overseeing sales practices, product governance, supervision, regulatory engagement, and compliance operations.
What you'll do
- Support the CCO in maintaining the broker-dealer compliance program and oversee supervision, surveillance, investigations, reporting, and testing.
- Oversee compliance for alternative investments, structured products, and annuities, including product due diligence, approval, and monitoring.
- Manage Written Supervisory Procedures and regulatory exam responses, remediation, and corrective action plans.
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.
- 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
$190,000 to $225,000 USD base salary
Tools
FINRA, SEC, Written Supervisory Procedures (WSPs), Series 24
Model-written summary · the original posting is authoritative