Senior Vice President, Compliance

Position Summary

The Senior Vice President, Head of Compliance, leads and advances the firm’s enterprise-wide compliance program. As a direct report to the Chief Risk Officer, this executive is accountable for ensuring compliance policies, procedures, monitoring, testing, training, and governance activities are effective and aligned across the organization.

The SVP, Head of Compliance provides strategic direction to the compliance function and may serve as the designated Chief Compliance Officer for affiliated entities. This leader partners closely with business, risk, legal, and operational teams to identify, assess, and manage compliance risks while enabling the firm’s strategic priorities and ongoing growth.

The ideal candidate is a collaborative, forward-thinking leader with deep compliance expertise, sound judgment, and a passion for developing talent and fostering a high-performance culture. This role shapes the future of the compliance function by leveraging technology, automation, and digital workforce capabilities to drive effectiveness, scalability, and organizational value.

Key Responsibilities

• Lead and continuously enhance the firm’s enterprise-wide compliance program, ensuring alignment with regulatory requirements and business objectives.

• Develop and execute a strategic vision for the compliance function that supports growth and operational excellence.

• Serve as a key advisor to the Chief Risk Officer, providing insights and recommendations on compliance risks, regulatory trends, governance, and program effectiveness.

• Oversee compliance policies, procedures, monitoring, testing, training, surveillance, investigations, and issue management.

• Manage regulatory exams, audits, inquiries, and reporting, ensuring thorough and timely engagement with internal and external stakeholders.

• Serve as designated Chief Compliance Officer for regulated entities as assigned.

• Collaborate with business, legal, risk, operations, and technology leaders to define and advance the future compliance operating model, integrating automation, AI, and digital workforce where appropriate.

• Identify and implement technology-enabled solutions to reduce manual work, improve consistency, and enable compliance professionals to focus on higher-value activities.

• Guide compliance frameworks and oversight practices to support the firm’s digital transformation and adoption of new technologies.

• Promote a collaborative, inclusive, and high-performing culture within the compliance team.

• Mentor and develop compliance leaders and staff, building organizational capability in anticipation of future needs.

• Foster alignment and shared accountability across the compliance organization for an effective, unified program.

• Champion innovation, continuous improvement, and responsible experimentation.

• Escalate significant compliance issues and emerging risks transparently and promptly.

Core Capabilities

• Extensive compliance and regulatory expertise in wealth management, investment advisory, or related financial services.

• Strong decision-making and problem-solving abilities with a strategic, business-oriented approach.

• Skill in interpreting complex regulatory requirements and providing clear, actionable guidance.

• Proven ability to balance regulatory, business, and risk considerations.

• Exceptional communication and relationship-building skills across all organizational levels.

• Demonstrated success in leading teams, building trust, and leading organizational change.

• Experience in driving transformation through technology and process redesign.

• Solid understanding of emerging technologies, AI, and digital workforce applications in regulated settings.

Qualifications

• Bachelor’s degree required.

• Juris Doctor (JD) from an accredited law school, with active law license.

• Minimum 12 years of progressive compliance experience with an SEC-registered investment adviser, wealth management firm, multifamily office, or similar advisory-oriented organization.

• Significant leadership experience in compliance programs and teams.

• Experience as a senior compliance leader with broad organizational responsibility.

• Proven track record in regulatory exams, compliance program enhancements, and technology-driven transformation.

• Experience advising senior executives on compliance, regulatory, or governance matters.

Preferred Qualifications

• Experience as a Chief Compliance Officer or equivalent in a large advisory organization.

• Relevant professional certifications (e.g., IACCP, CRCM, CAMS, CCEP).

• Series 24

• Experience leading compliance through growth, M&A integration, or operating model transitions.

Skills & Knowledge

• Deep understanding of SEC, investment adviser, and wealth management regulations.

• Expertise in compliance program management, governance, and regulatory risk oversight.

• Knowledge of fiduciary duties, advisory compliance, marketing regulations, conflicts management, and regulatory reporting.

• Familiarity with compliance technology platforms, workflow tools, and data-driven compliance practices.

• Understanding of automation, artificial intelligence, and digital workforce solutions in compliance.

• Ability to lead teams that shift from manual tasks toward higher-value analysis, advisory, and oversight work.

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We welcome your interest in being a part of our firm. We believe in giving associates progressive opportunities, actively nurturing professional growth and giving back to the community. We are dedicated to building a diverse culture where everyone has the support they need to achieve their career goals. We offer an innovative workplace and a culture that fosters camaraderie, teamwork and work-life balance.

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