AVP, Compliance Advisor (Distribution Compliance (Americas)The AVP, Distribution Compliance supports the Chief Compliance Officer in administering compliance programs for a registered broker-dealer and Canadian distribution entity. This role executes day-to-day compliance operations and advises the business on regulatory and compliance matters. Working knowledge of a wholesale broker-dealer distribution model is a plus but not required.
Key Responsibilities and Duties- Advise business partners on regulatory requirements and internal policies and procedures
- Develop and maintain policies and procedures supporting regulatory compliance
- Assist CCO with performing regulatory risk assessments to identify compliance issues, concerns, and deficiencies and implementing action plans to remediate identified issues
- Execute monitoring activities and forensic reviews, document results, and drive remediation
- Administer regulatory due diligence for broker-dealer and Canadian distribution arrangements, including product-related compliance matters
- Administer aspects of licensing and registration for the broker-dealer and Canadian entity
- Monitor regulatory developments and industry trends affecting the compliance programs
- Support document production for audits, testing, and regulatory examinations
Educational Requirements- University (Degree) Preferred
Work Experience- 3+ Years Required; 5+ Years Preferred
FINRA Registrations- SRC Indicator: Series 7; Series 24
Physical Requirements- Physical Requirements: Sedentary Work
Career Level 7IC
Required Skills
- 3 or more years of experience in regulatory compliance within financial services industry
- Experience with a distribution-oriented broker-dealer business model
- Familiarity with Alternatives asset classes, including registered and unregistered funds
- Series 7 and Series 24 licenses required, or ability to obtain both within 120 days from the date of hire.
Preferred Skills
- 5 or more years of experience in a regulatory compliance within financial services industry
- Excellent attention to detail, strong analytical thinking, and effective written and verbal communication skills
- Bachelor's degree
- High proficiency in Microsoft Excel and PowerPoint
Related Skills
Adaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking
Anticipated Posting End Date:2026-10-07
Base Pay Range: $87,800/yr - $119,000/yr
Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).
