Sales and Distribution Compliance - Senior Vice President

Significant experience in a FINRA‑registered broker‑dealer environment, including leadership or supervisory responsibility

Strong working knowledge of FINRA rules, SEC regulations, suitability standards, and complex product oversight

Experience managing regulatory exams, enforcement matters, and senior‑level regulatory interactions

Proven leadership skills with the ability to influence senior stakeholders and business partners

The base salary range for this role is $190,000 to $225,000.  iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit

https://www.icapitalnetwork.com/about-us

Twitter: @icapitalnetwork | LinkedIn:

https://www.linkedin.com/company/icapital-network-inc

iCapital is looking to hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within the Regulatory and Compliance group.

This individual supports the Chief Compliance Officer in the oversight, management, and execution of the broker‑dealer’s comprehensive compliance program.

This role plays a critical leadership function in ensuring adherence to FINRA rules, SEC regulations, and other applicable laws governing broker‑dealer activities, with particular emphasis on the distribution of alternative investments, structured investments, and annuity products.

Responsibilities will include strategic direction, supervisory oversight, and day‑to‑day compliance leadership across sales practices, product governance, supervision, regulatory engagement, and compliance operations.

Assist the CCO in designing, implementing, and maintaining an effective broker dealer compliance program consistent with FINRA and SEC expectations.

Provide senior level oversight of key compliance functions, including supervision, surveillance, investigations, regulatory reporting, and compliance testing.