Broker Dealer Compliance Officer, SVP

Responsibilities:

• Partner with executive leadership to shape, execute, and continuously strengthen the firm's compliance framework in alignment with applicable securities industry regulatory obligations.
• Provide strategic oversight of monitoring, supervisory review, investigative processes, regulatory filings, and compliance assurance activities.
• Act as a senior resource for escalated regulatory, supervisory, and conduct-related matters presenting elevated risk to the organization.
• Direct compliance oversight for the offering and distribution of specialized investment solutions, including non-traditional investment vehicles, insurance-based products, and other higher-complexity offerings.
• Contribute to governance processes supporting product review, risk assessment, approval, and ongoing oversight activities.
• Maintain and enhance supervisory governance documentation, policies, and procedural standards to support effective oversight.
• Work closely with business stakeholders to evaluate supervisory effectiveness, strengthen control environments, and implement process improvements where necessary.
• Lead regulatory engagement activities, including examination support, information requests, issue remediation efforts, and management of corrective action initiatives.
• Assess emerging regulatory and industry developments to determine potential impacts on business activities, sales practices, and distribution models.