Senior Vice President, Compliance for Advisory Technology

Senior Vice President, Compliance for Advisory Technology

About the Company

Leading financial services company specializing in investment management, research & trading services

Industry
Financial Services

Type
Public Company

About the Role

The Company is seeking a Senior Vice President for Compliance in Advisory Technology. The successful candidate will serve as a strategic compliance partner, providing regulatory guidance during the development of advisory technology and related offerings. This role involves collaborating with various teams to design and maintain a comprehensive compliance program, conducting risk assessments, and supporting monitoring activities to ensure compliance with regulatory standards. The SVP will also be responsible for interpreting regulatory changes, advising on their impact, and supporting compliance for a FINRA-registered broker-dealer. Applicants should have a Bachelor's degree or relevant professional certification, with 5-7 years' of experience in compliance or financial services, particularly in advisory technology, brokerage, or wealth management. A strong knowledge of SEC and FINRA regulations, as well as industry best practices, is essential. The role requires the ability to analyze complex regulatory topics, propose practical solutions, and manage priorities in a fast-paced environment. Experience in influencing and collaborating within matrixed organizations is a must, and experience in reviewing adviser or broker-dealer advertising materials is considered beneficial. The position demands a proactive approach to driving cross-functional collaboration and ensuring compliance readiness at all levels.

Hiring Manager Title
Chief Compliance Officer

Travel Percent
Less than 10%

Functions

• Finance