Broker Dealer Compliance, Distribution - Vice President / Senior Vice President
The Broker Dealer Compliance, Distribution - Vice President / Senior Vice President position at iCapital is a critical leadership role within the firm's Compliance team. iCapital is a financial technology platform that streamlines alternative investment access and administration for wealth management, banking, and institutional clients globally. The role is set within a fast-growing environment, reflecting the expanding intersection between financial innovation and regulatory oversight.
The key responsibilities include overseeing and enhancing compliance programs related to broker-dealer and distribution activities, ensuring adherence to SEC, FINRA, and other applicable regulations. The VP/SVP will manage compliance monitoring, conduct internal reviews, implement compliance training, and collaborate with business stakeholders on policy interpretation and risk assessments. Day-to-day activities revolve around handling regulatory inquiries, preparing documentation for audits, and supporting new product approvals from a compliance perspective.
Candidates must have significant experience in broker-dealer compliance, preferably within a financial services or asset management context. Essential skills include a strong understanding of FINRA and SEC rules (such as 15a-6), hands-on experience with compliance frameworks for distribution channels, and the ability to provide strategic advisory support to business units. The ideal candidate will also possess excellent communication skills, a keen attention to detail, and a proven track record in managing compliance teams and complex regulatory projects.
In addition to a competitive compensation package commensurate with experience, iCapital offers comprehensive benefits including health coverage, retirement plans, paid time off, and professional development opportunities. The company is known for its collaborative and innovative approach, offering employees the opportunity to work at the forefront of financial technology while enjoying personal and professional growth.