Job description

Job Description

As the Vice President for Financial Advisory Framework & Compliance, you will lead the development, implementation, and oversight of the compliance framework governing financial advisors within the organization. This role combines strategic leadership with a deep understanding of regulatory requirements to ensure the organization delivers compliant and ethical financial advisory services. You will collaborate with senior stakeholders, regulatory bodies, and cross-functional teams to mitigate risks, enhance advisor performance, and align operations with industry standards.

Key Responsibilities:
1. Strategic Leadership:
• Design and lead the strategic vision for the financial advisory framework, ensuring it meets regulatory requirements and business objectives.
• Drive compliance initiatives that align with fiduciary responsibilities, industry trends, and best practices.
• Serve as a key decision-maker in shaping policies, tools, and strategies that support advisors in delivering exceptional, compliant client experiences.
2. Regulatory Compliance Management:
• Oversee the organization’s adherence to financial advisory regulations (e.g., SEC, FINRA, or regional equivalents) and internal governance standards.
• Monitor and respond to changes in regulatory landscapes, ensuring timely updates to the advisory framework and processes.
• Manage relationships with regulatory bodies, coordinating audits, examinations, and inquiries.
3. Risk Management:
• Identify, assess, and mitigate risks related to financial advisory activities and client interactions.
• Ensure proper disclosure protocols are in place, supporting transparency and client trust.
• Establish controls to address conflicts of interest and ensure the organization’s fiduciary standards are upheld.
4. Advisor Training and Development:
• Lead initiatives to train financial advisors on compliance policies, ethical standards, and regulatory changes.
• Provide advisors with tools and resources to enhance their advisory practices while ensuring compliance.
• Foster a culture of accountability, professionalism, and continuous improvement among financial advisors.
5. Monitoring and Reporting:
• Oversee compliance monitoring programs to track advisor activities, identify trends, and address potential issues proactively.
• Generate detailed compliance and risk reports for senior leadership, highlighting key metrics, challenges, and recommendations.
• Provide thought leadership on compliance matters, advising the executive team on strategic implications.
6. Stakeholder Collaboration:
• Work closely with legal, risk, operations, and product teams to ensure a unified approach to compliance and advisory operations.
• Represent the organization in industry forums, advocacy groups, and with external stakeholders to influence regulatory policies.

Qualifications:
• Experience: 10+ years in financial services, with significant experience in compliance, advisory frameworks, and leadership roles. Experience with regulatory bodies or audit functions is a plus.
• Education: Bachelor’s degree in finance, business, law, or a related field. 
• Skills:
• Comprehensive knowledge of financial regulations and compliance frameworks.
• Strategic thinking and ability to lead cross-functional initiatives.
• Strong leadership and interpersonal skills to influence and manage diverse teams.
• Proficient in data analysis and reporting tools to support monitoring and decision-making.

Key Competencies:
• Exceptional attention to detail with a proactive approach to problem-solving.
• Strong communication and negotiation skills for interacting with regulators and senior stakeholders.
• High ethical standards and a commitment to upholding fiduciary principles.

Additional Requirements