Senior Vice President, Compliance

This is a fully remote position, open to applicants in United States.

📋 Description

• Lead and continually improve the firm's comprehensive compliance program, ensuring it aligns with both regulatory standards and business goals.

• Formulate and implement a strategic vision for the compliance function that fosters growth and operational excellence.

• Act as a principal advisor to the Chief Risk Officer, offering insights and recommendations regarding compliance risks, regulatory developments, governance, and program effectiveness.

• Oversee compliance policies, procedures, monitoring, testing, training, surveillance, investigations, and issue management.

• Manage regulatory examinations, audits, inquiries, and reporting, ensuring thorough and timely engagement with both internal and external stakeholders.

• Serve as the designated Chief Compliance Officer for regulated entities as assigned.

• Work collaboratively with business, legal, risk, operations, and technology leaders to define and advance the future compliance operating model, integrating automation, AI, and digital workforce where applicable.

• Identify and apply technology-enabled solutions to minimize manual tasks, enhance consistency, and allow compliance professionals to concentrate on higher-value activities.

• Guide compliance frameworks and oversight practices to support the firm's digital transformation and the adoption of new technologies.

• Foster a collaborative, inclusive, and high-performance culture within the compliance team.

• Mentor and develop compliance leaders and staff, enhancing organizational capability in anticipation of future needs.

• Promote alignment and shared accountability across the compliance organization for an effective, unified program.

• Advocate for innovation, continuous improvement, and responsible experimentation.

• Elevate significant compliance issues and emerging risks transparently and promptly.

⛳️ Requirements

• A Bachelor’s degree is required.

• A Juris Doctor (JD) from an accredited law school, along with an active law license.

• At least 12 years of progressive compliance experience within an SEC-registered investment adviser, wealth management firm, multifamily office, or a similar advisory-oriented organization.

• Considerable leadership experience in compliance programs and teams.

• Experience as a senior compliance leader with extensive organizational responsibility.

• Demonstrated success in regulatory examinations, compliance program enhancements, and technology-driven transformations.

• Experience advising senior executives on compliance, regulatory, or governance issues.

🏝️ Benefits

• Health insurance

• Retirement plans

• Paid time off

• Flexible work arrangements

• Professional development

• Bonuses