Senior Vice President, Compliance Lead, Advisory Technology

Senior Vice President, Compliance Lead, Advisory Technology About the Company Large top-tier bank located in Midtown. Industry Banking Type Privately Held About the Role The Company is seeking a Senior Vice President, Compliance Lead for Advisory Technology. The successful candidate will be responsible for advising on compliance strategy for emerging wealth tech solutions, serving as a strategic compliance partner to leadership teams, and providing regulatory guidance during the development of advisory technology and related offerings. This high-visibility role involves collaboration with senior executives, product leaders, and various business, legal, and operational groups to design and maintain a comprehensive compliance program. The role also includes conducting risk assessments, supporting monitoring activities, and ensuring compliance with SEC and FINRA regulations. Applicants should have a Bachelor's degree or relevant professional certification, with 5-7 years' of compliance or financial services experience, preferably in advisory technology, brokerage, or wealth management. Strong knowledge of SEC and FINRA regulations, the ability to analyze complex regulatory topics, and experience in influencing and collaborating within matrixed organizations are essential. The role requires the ability to manage priorities in a fast-paced environment, and experience in reviewing adviser or broker-dealer advertising materials is a plus. The ideal candidate will be adept at driving cross-functional collaboration and influencing stakeholders at all levels to ensure compliance readiness. Hiring Manager Title Chief Compliance Officer Travel Percent Less than 10% Functions Legal