About the Role

iCapital is looking to hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within the Regulatory and Compliance group. This individual supports the Chief Compliance Officer in the oversight, management, and execution of the broker‑dealer’s comprehensive compliance program. This role plays a critical leadership function in ensuring adherence to FINRA rules, SEC regulations, and other applicable laws governing broker‑dealer activities, with particular emphasis on the distribution of alternative investments, structured investments, and annuity products.

Responsibilities will include strategic direction, supervisory oversight, and day‑to‑day compliance leadership across sales practices, product governance, supervision, regulatory engagement, and compliance operations. The position requires a seasoned compliance professional capable of partnering with senior business leaders while exercising sound regulatory judgment in complex and evolving areas of risk.

Responsibilities

• Assist the CCO in designing, implementing, and maintaining an effective broker dealer compliance program consistent with FINRA and SEC expectations.
• Provide senior level oversight of key compliance functions, including supervision, surveillance, investigations, regulatory reporting, and compliance testing.
• Serve as a key escalation point for material compliance issues, supervisory concerns, and regulatory risk matters.
• Oversee compliance related to the distribution of alternative investments, structured products, and annuities, including private placements and complex products.
• Support product due diligence, approval, and ongoing monitoring frameworks from a broker dealer compliance perspective.
• Manage the development, maintenance, and enforcement of Written Supervisory Procedures (WSPs).
• Partner with business leadership to enhance supervisory controls and address identified gaps.
• Manage and coordinate responses to regulatory examinations, inquiries, and findings, as applicable, ensure timely remediation, and track corrective action plans.
• Monitor regulatory developments impacting broker dealer operations, complex product distribution, and sales practices.
• Collaborate across various business lines on new marketing initiatives, providing compliance guidance.
• Mentor and develop compliance staff, fostering depth, continuity, and subject matter expertise within the compliance function.
• Promote a strong culture of compliance and ethical conduct across the organization.

Qualifications

• 12-15+ years of relevant experience
• Significant experience in a FINRA‑registered broker‑dealer environment, including leadership or supervisory responsibility
• Demonstrated expertise in alternative investments, structured investments, or annuities from a compliance or regulatory perspective
• Strong working knowledge of FINRA rules, SEC regulations, suitability standards, and complex product oversight
• Experience managing regulatory exams, enforcement matters, and senior‑level regulatory interactions
• Proven leadership skills with the ability to influence senior stakeholders and business partners
• Excellent written and verbal communication skills
• Thrives in a fast-paced environment with a continuous learning mindset
• Self-motivated with robust project management and process development skills
• Sound judgment, strong ethics, and the ability to manage sensitive and confidential matters
• JD is a plus
• Series 24 license upon hire or obtain within 90 days of hire

Benefits

The base salary range for this role is $150,000 to $175,000.  iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

ABOUT THIS ROLE 

LVT is actively seeking a highly motivated and detail-oriented Information Security Manager (GRC) to join our growing Information Security team. This role will report directly to the Information Security Director (GRC). This position is designed for an individual eager to delve deeply into the operational aspects of Governance, Risk, and Compliance, directly supporting LVT’s steadfast commitment to security excellence and regulatory adherence as the business continues its innovative scaling.

LVT values managing risk in alignment with our customer’s and stakeholder’s expected levels. We design, implement,  and monitor controls that reduce real risk. The  Information Security Manager (GRC) will play an instrumental role in driving key operational GRC initiatives. The primary focus of this hands-on position will be the end-to-end management of LVT’s SOC 2 audit processes, initiating third-party risk assessments, actively contributing to the policy review and approval lifecycle, and documenting and treating risks in our risk register. 

Fostering collaborative relationships and good communication is critical as you will work closely with cross-functional teams across the organization to integrate GRC standards and principles into LVT’s operations. This role demands exceptional organizational skills, both strategic vision and tactical efforts, and the ability to build and mentor a team of security professionals to meet both current and future GRC challenges.

ROLE RESPONSIBILITIES

• Manage LVT’s annual SOC 2 audit and other audits as necessary.  
• Collaborate with IT, Finance, and Legal to represent Information Security in various cross-functional processes including vendor risk, contractual terms , and customer security questions.
• Identify inefficiencies in different GRC processes and improve them.
• Design and manage regular internal audits of security controls.
• Implement automated control monitoring and evidence collection.
• Create, review, and maintain LVT’s security policies.  
• Maintain LVT’s risk register to ensure accurate and timely recording of identified risks and their mitigation statuses.  
• Build strong relationships with risk owners to drive program buy-in, accountability, and ownership.
• Work with SalesOps to develop an approach to customer security questionnaires.
• Mature our public-facing Security Trust Center to enhance transparency, showcase LVT’s commitment to security, and streamline the sales process.
• Identify and operationalize ways to automate tools and processes to improve LVT’s compliance program efficiency and collaboration across multiple teams.
• Establish and maintain measurable GRC program metrics to quantify effectiveness, highlight progress, and drive continuous improvement.

OUR IDEAL CANDIDATE

• 5+ years of experience with Information Security, GRC or IT Audit roles, demonstrating a growing understanding of GRC concepts and methodologies. 
• Experience managing a GRC function and staff.
• Effective writing skills for tasks such as policy review and approval, developing risk treatment plans, and creating audit documentation and responses for external auditors.
• Strong organizational skills and attention to detail for managing documentation, audit evidence, and maintaining accurate GRC records.
• Proven track record of developing and implementing policies and procedures, assessing and prioritizing risks, and maturing security compliance programs.
• Substantial experience with regulatory frameworks and standards, such as NIST, SOC 2, ISO 27001, and FedRAMP.
• Experience communicating detailed security concepts, risks, and controls to both technical and non-technical stakeholders.
• Outstanding interpersonal and leadership skills that inspire collaboration and drive alignment across teams.
• Demonstrates an ability to lead effectively in dynamic, fast-paced environments, balancing strategic vision with tactical execution to respond to evolving security needs.
• Experience working with GRC platforms (e.g., Drata, Vanta, ZenGRC) and project management tools (e.g., Jira, Asana) is a plus.
• A Bachelor's degree in Information Security, Computer Science, Information Technology, Business, or a related field, or equivalent practical experience, is preferred. 
• Relevant professional certifications such as CISSP, CompTIA Security+, CISA, or CRISC are highly desirable.