Vice President, Advisor Compliance

Vice President, Advisor Compliance

About the Company

A leading financial services organization

Industry
Financial Services

Type
Privately Held

About the Role

The Company is in search of a Vice President, Advisor Compliance to play a pivotal role in the enhancement and support of compliance programs within its investment adviser and broker-dealer operations. This leadership position demands a professional who can work closely with senior business leaders, legal teams, and compliance experts to develop and strengthen policies, supervisory frameworks, and regulatory risk management initiatives. The successful candidate will be responsible for providing compliance oversight and guidance, developing and implementing compliance policies and procedures, and leading compliance-related projects. A key aspect of the role is to promote a culture of ethics, integrity, and compliance across the organization. Applicants for the Vice President, Advisor Compliance role at the company should hold a Bachelor's degree, with an advanced degree or professional certifications being a plus. A Series 65/66 license or an applicable professional designation for IAR registration is required. The ideal candidate will have extensive experience in investment adviser compliance, meaningful exposure to broker-dealer compliance, and a strong knowledge of SEC rules and regulations. Experience in developing and enhancing compliance programs, managing regulatory examinations, and a proven ability to partner with executive leadership on regulatory matters are essential. Preferred qualifications include experience in wealth management or advisory-focused business models, familiarity with multi-platform advisory environments, and a demonstrated success in leading teams and developing compliance talent.

Functions

• Legal