Senior Vice President, Compliance

Mariner

Senior VP of Compliance spearheading compliance initiatives within a financial services firm. Collaborating with various teams to manage compliance risks and drive operational excellence.

Posted 7/10/2026full-timeRemote • 🇺🇸 United StatesSenior💰 $265,000 - $350,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive expertise in leading compliance programs, regulatory alignment, and strategic vision development. Proven ability to mentor compliance teams, implement technology-driven solutions, and manage complex regulatory environments.

Highest-signal resume keywords

Compliance Program LeadershipRegulatory Exam ManagementTechnology-Driven TransformationSenior Executive AdvisoryJuris Doctor (JD) License

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance Policy DevelopmentRegulatory Requirements AlignmentRisk ManagementGovernance PracticesMonitoring and TestingTraining and SurveillanceIssue ManagementAuditingCompliance FrameworksDigital Transformation

Soft Skills

CollaborationMentoringInnovationContinuous ImprovementHigh-Performing Culture Promotion

Tools & Technologies

AutomationAI IntegrationDigital Workforce Solutions

Certifications & Qualifications

Active Law License

Industry Keywords

SEC-Registered Investment AdviserWealth ManagementMultifamily OfficeAdvisory-Oriented Organization

About the role

Key responsibilities & impact

Lead and continuously enhance the firm’s enterprise-wide compliance program, ensuring alignment with regulatory requirements and business objectives.
Develop and execute a strategic vision for the compliance function that supports growth and operational excellence.
Serve as a key advisor to the Chief Risk Officer, providing insights and recommendations on compliance risks, regulatory trends, governance, and program effectiveness.
Oversee compliance policies, procedures, monitoring, testing, training, surveillance, investigations, and issue management.
Manage regulatory exams, audits, inquiries, and reporting, ensuring thorough and timely engagement with internal and external stakeholders.
Serve as designated Chief Compliance Officer for regulated entities as assigned.
Collaborate with business, legal, risk, operations, and technology leaders to define and advance the future compliance operating model, integrating automation, AI, and digital workforce where appropriate.
Identify and implement technology-enabled solutions to reduce manual work, improve consistency, and enable compliance professionals to focus on higher-value activities.
Guide compliance frameworks and oversight practices to support the firm’s digital transformation and adoption of new technologies.
Promote a collaborative, inclusive, and high-performing culture within the compliance team.
Mentor and develop compliance leaders and staff, building organizational capability in anticipation of future needs.
Foster alignment and shared accountability across the compliance organization for an effective, unified program.
Champion innovation, continuous improvement, and responsible experimentation.
Escalate significant compliance issues and emerging risks transparently and promptly.

Requirements

What you’ll need

Bachelor’s degree required.
Juris Doctor (JD) from an accredited law school, with active law license.
Minimum 12 years of progressive compliance experience with an SEC-registered investment adviser, wealth management firm, multifamily office, or similar advisory-oriented organization.
Significant leadership experience in compliance programs and teams.
Experience as a senior compliance leader with broad organizational responsibility.
Proven track record in regulatory exams, compliance program enhancements, and technology-driven transformation.
Experience advising senior executives on compliance, regulatory, or governance matters.

Benefits

Comp & perks

Health insurance
Retirement plans
Paid time off
Flexible work arrangements
Professional development
Bonuses