SVP, Compliance Lead - Advisory Tech

• 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 preparednessAssist 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.