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SVP, Compliance Lead - Advisory Tech

New York, New York Permanent $100,000 - $170,000 per year View Job Description
This position serves as a senior compliance advisor supporting technology‑driven wealth management solutions and broker‑dealer oversight. The role works closely with product, business, and regulatory teams to evaluate new initiatives, strengthen compliance frameworks, and ensure adherence to applicable SEC and FINRA requirements.
  • 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

Job summary

Function
Policy, Economics & Regulatory Affairs
Subsector
Policy, Economics & Regulatory Affairs Subsector
Industry
Financial Services
Location
New York
Contract type
Permanent
Consultant name
Lauren Van Manen
Job reference
JN-042026-6987283

About Page Executive

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