Senior Vice President, Compliance

Role Overview

• 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.

Requirements

• 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.

Benefits

• Health insurance
• Retirement plans
• Paid time off
• Flexible work arrangements
• Professional development
• Bonuses