Senior Vice President of Compliance

Senior Vice President of Compliance About the Company Join an internationally recognized investment services firm that has been a leader in the financial services industry since 1784. With a robust presence and a diverse range of offerings, we are committed to excellence in service and client satisfaction. About the Role We are currently seeking a dynamic Senior Compliance Officer to enhance our Wealth Services team. In this role, you will act as a strategic advisor to business leaders, delivering expert regulatory guidance as we develop innovative advisory technology tailored for the wealth management sector. Your contributions will be critical in establishing compliance from the ground up for new product launches, strategic initiatives, and operational rollouts. You will be responsible for designing, implementing, and maintaining a strong compliance program. This includes conducting comprehensive risk assessments and engaging in internal monitoring reviews to pinpoint and address compliance vulnerabilities effectively. Your expertise will be essential in navigating the complexities of financial industry rules and regulations, particularly those set forth by the SEC and FINRA. The ideal candidate will possess: A Bachelor's degree or professional certification 5-7 years of relevant experience in compliance and/or financial services A profound understanding of compliance and risk management best practices The capability to influence stakeholders at all organization levels to champion compliance initiatives Experience reviewing investment adviser and broker-dealer advertising and marketing materials (preferred) If you are proactive, results-driven, and eager to thrive in a fast-paced and innovative business environment, we want to hear from you! Hiring Manager Title : Chief Compliance Officer Travel Percent : Less than 10% Functions Finance