Senior Vice President, Compliance

Job not on LinkedIn

🔥 5 minutes ago

🇺🇸 United States – Remote

💵 $265k - $350k / year

⏰ Full Time

🟠 Senior

🚔 Compliance

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Mariner

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

💸 Finance

🤝 B2B

💰 $75M Debt financing on 2022-02

Finance • B2B

Mariner is a national wealth management firm that provides comprehensive financial planning and investment management services to individuals, families, advisors, and businesses. The firm offers integrated solutions including wealth planning, tax planning and preparation, estate and trust services, insurance solutions, retirement plan services, institutional cash management, and valuation and advisory services. Mariner supports advisors with in-house teams and serves a range of client segments—executives, professional athletes, medical and dental professionals, and business owners—focusing on fiduciary advice and collaborative, sophisticated wealth strategies.

📋 Description

• 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

• 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

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