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Sales and Distribution Compliance - Senior Vice President

iCapital - New York, New York, United States

Posted Apr 9, 2026

Benefits

Parental leave
Not verified
Non-birth-parent leave
Not verified
Family-building benefits
  • Fertility benefits: Not verified
  • Adoption assistance: Not verified
  • Surrogacy assistance: Not verified
Mental health support
Not verified
Relocation assistance
Not verified
Childcare support
Not verified
Learning budget
Not verified
Verification
Not verified
Salary
$190K-$225K From the posting source checked Jun 20, 2026
401(k) match
Not verified

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Market context

U.S. role benchmark (BLS OEWS)
$57,704 U.S. median for this role
Projected growth (BLS Employment Projections)
+0.9% - Slower

260% above the BLS role benchmark for sales aggregate.

Posted salary is far from this role benchmark; treat it as low confidence.

Matched to SOC 41-2031 - Sales aggregate by role bucket.

Source: U.S. Bureau of Labor Statistics, OEWS, May 2024 and Employment Projections, 2024-2034.

Role

Role function
Sales From the posting source checked Jun 20, 2026
Seniority
Director Plus From the posting source checked Jun 20, 2026

Schedule

Shift type
Not verified
Weekend work
Not verified

Company

Company stage
Growth-stage From the posting source checked Jun 20, 2026
Equity
Offered From the posting source checked Jun 20, 2026

Application

Cover letter
Not verified
Assessment
Not verified
Deadline
Not stated

Where they hire

State eligibility is not yet verified.

About this role

Sales and Distribution Compliance - Senior Vice President New York, New York, United States About the Role 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. The position requires a seasoned compliance professional capable of partnering with senior business leaders while exercising sound regulatory judgment in complex and evolving areas of risk. Responsibilities - 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. - Serve as a key escalation point for material compliance issues, supervisory concerns, and regulatory risk matters. - Oversee compliance related to the distribution of alternative investments, structured products, and annuities, including private placements and complex products. - Support product due diligence, approval, and ongoing monitoring frameworks from a broker dealer compliance perspective. - Manage the development, maintenance, and enforcement of Written Supervisory Procedures (WSPs). -

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