Broker Dealer Compliance, Distribution - Vice President / Senior Vice President
iCapital is seeking a Vice President or Senior Vice President to join its Broker Dealer and Distribution Compliance team within the Regulatory and Compliance group. This role supports the Chief Compliance Officer in overseeing and executing the broker-dealer's comprehensive compliance program, ensuring adherence to FINRA rules, SEC regulations, and other applicable laws governing broker-dealer activities, with a particular focus on the distribution of alternative investments, structured investments, and annuity products.
Key responsibilities include assisting in the design and maintenance of an effective broker-dealer compliance program, providing senior-level oversight of compliance functions such as supervision, surveillance, investigations, regulatory reporting, and compliance testing. The role also involves overseeing compliance related to the distribution of complex products, supporting product due diligence and approval processes, managing the development and enforcement of Written Supervisory Procedures (WSPs), and coordinating responses to regulatory examinations and inquiries.
The ideal candidate will have 12-15+ years of relevant experience, significant experience in a FINRA-registered broker-dealer environment with leadership or supervisory responsibilities, and 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 is essential. Experience managing regulatory exams and enforcement matters, proven leadership skills, and excellent written and verbal communication abilities are also required. A JD is a plus, and candidates must have or obtain a Series 24 license within 90 days of hire.
The base salary range for this role is $135,000 to $175,000. iCapital offers a compensation package that includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package, including an employer-matched retirement plan, generously subsidized healthcare with 100% employer-paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).