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. The successful candidate will be a key leader in the rapidly expanding legal and compliance department, with a focus on supporting the growing business and ensuring consistent compliance across SEC and FINRA regulated entities. This role demands a highly visible, strategic thinker with the ability to work closely with senior leadership to design, implement, and maintain a robust compliance organization. The SVP will be responsible for the development and maintenance of compliance policies and procedures, conducting risk assessments, and overseeing special projects as needed.

Applicants must have a Bachelor's degree, with a JD being a plus, and at least 5-7 years' of relevant compliance experience with a Registered Investment Advisor. The role requires in-depth knowledge of SEC-registered investment advisor rules and regulations, the ability to apply this knowledge effectively, and a proven track record in identifying and addressing compliance issues. The SVP will also be involved in the delivery of the firm's compliance training program and must possess strong communication, negotiation, and conflict resolution skills. A collaborative approach, outstanding organizational skills, and the ability to manage competing priorities are essential. The position is ideal for a professional who is adept at problem-solving, has a strong ethical compass, and is dedicated to the development and maintenance of a culture of compliance.

Hiring Manager Title
Chief Compliance Counsel



Travel Percent
25%

Functions FinanceLegal