Senior VP, Broker-Dealer Compliance & Distribution

A leading financial services firm in Connecticut is seeking a Senior Vice President for the Broker Dealer and Distribution Compliance team. This role includes designing and maintaining compliance programs, overseeing key compliance functions, and mentoring staff. Candidates should have 12-15+ years of relevant experience, particularly in a FINRA-registered environment, and possess strong leadership and communication skills. A comprehensive benefits package and competitive salary are offered, with a salary range of $190,000 to $225,000.
We invite applications for the Senior VP, Broker-Dealer Compliance & Distribution position located in Greenwich, CT, United States. Full responsibilities and requirements are described in the listing above. Learn more about the Senior VP, Broker-Dealer Compliance & Distribution role in the description above. We appreciate your interest in this position. Join iCapital and contribute to our ongoing work.