SVP, Compliance Lead - Advisory Tech
$100k - $170kFull-time
- Advise on compliance strategy for emerging wealth tech solutions
- High‑visibility role partnering with senior executives and product leaders
About Our Client
Large top-tier bank located in Midtown. This job can sit in either Midtown or Jersey City.
Job Description
- Serve as a strategic compliance partner to leadership teams developing advisory technology and related offerings
- Provide regulatory guidance during product development, process enhancements, and new business initiatives
- Collaborate across business, product, legal, and operational groups to design and maintain a comprehensive compliance program
- Conduct risk assessments and support monitoring activities to identify vulnerabilities and recommend mitigating controls
- Interpret regulatory changes, industry updates, and relevant rulemaking; advise on process and policy impact
- Support compliance responsibilities for a FINRA‑registered broker‑dealer, including advisory input and program oversight
- Partner with the Chief Compliance Officer on program execution, documentation, and regulatory preparedness
- Assist with marketing and communications reviews for advisory and broker‑dealer materials, where applicable
- Drive cross‑functional collaboration and influence stakeholders at all levels to ensure compliance readiness
The Successful Applicant
- Bachelor's degree or relevant professional certification preferred
- 5-7 years of compliance or financial services experience, preferably in advisory technology, brokerage, or wealth management
- Strong knowledge of SEC and FINRA regulations and industry best practices
- Ability to analyze complex regulatory topics, propose practical solutions, and manage priorities in a fast‑paced environment
- Demonstrated influence and collaboration skills within matrixed organizations
- Experience reviewing adviser or broker‑dealer advertising materials is helpful
What's on Offer
- Competitive salary ranging from $100,000 to $170,000 USD.
Contact
Lauren Van Manen
Quote job ref
JN-042026-6987283
Vacancy posted more than 2 months ago
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