Senior Vice President Compliance & Risk Officer, Retirement & Private Wealth

Senior Vice President Compliance & Risk Officer, Retirement & Private Wealth About the Company Profitable insurance brokerage providing investment & wealth management solutions

Industry
Insurance

Type
Privately Held, VC-backed

Founded
1998


Employees
10,001+

Funding
$200+ million


Categories InsuranceFinanceConsulting & Professional ServicesBrokerage Specialties insurance and risk management solutions for businesses and consumers Business Classifications B2B About the Role The Company is seeking a Senior Vice President, Compliance and Risk Officer for its Retirement and Private Wealth division. This role is pivotal in the development and administration of the portfolio compliance program, ensuring that all regulatory and portfolio guidelines are met. The successful candidate will be responsible for supporting the design and implementation of controls and processes, working closely with various functional teams, and monitoring portfolio guideline compliance. A key aspect of the position is to support the process of implementing new guidelines, work with system providers on rule creation and maintenance, and participate in ad hoc strategic projects. The role demands a professional with a minimum of 4 to 6 years' of experience in the investment management industry, a strong knowledge of investment instruments, and familiarity with investment-related regulations and portfolio monitoring tools.

Applicants for this role at The Company should possess an undergraduate degree in a relevant field such as finance, economics, or accounting, and demonstrate strong critical thinking, attention to detail, and excellent communication skills. The ability to work in a team environment, manage projects effectively, and exercise sound independent judgment is essential. A CFA designation or active status in the CFA program is a plus, as is a working knowledge of investment-related applications and SEC rules. The role offers a unique opportunity to join a high-growth, dynamic company and requires a candidate who is prepared to be a visible, senior leader, and who is dedicated to supporting the business while mitigating risk.

Hiring Manager Title
Chief Compliance Counsel



Travel Percent
25%

Functions LegalFinance