SVP, Compliance Lead - Advisory Tech

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.

Client Details

Large top-tier bank located in Midtown. This job can sit in either Midtown or Jersey City.

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

Profile

• 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

Job Offer

• Competitive salary ranging from $100,000 to $170,000 USD.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.