SVP, Compliance Lead - Advisory Tech

• Advise on compliance strategy for emerging wealth tech solutions
• Highvisibility 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 FINRAregistered brokerdealer, 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 brokerdealer materials, where applicable
• Drive crossfunctional collaboration and influence stakeholders at all levels to ensure compliance readiness

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.


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 fastpaced environment
• Demonstrated influence and collaboration skills within matrixed organizations
• Experience reviewing adviser or brokerdealer 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