Mariner Careers

Senior Vice President, Compliance

United States · Exec

Sponsorship not specifiedDetected 12 days ago

ComplianceM&ALeadershipCommunicationProblem Solving

About the role

As a direct report to the Chief Risk Officer, this executive is accountable for ensuring compliance policies, procedures, monitoring, testing, training, and governance activities are effective and aligned across the organization.
The SVP, Head of Compliance provides strategic direction to the compliance function and may serve as the designated Chief Compliance Officer for affiliated entities.

Lead and continuously enhance the firm's enterprise-wide compliance program, ensuring alignment with regulatory requirements and business objectives.
Manage regulatory exams, audits, inquiries, and reporting, ensuring thorough and timely engagement with internal and external stakeholders.
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.
Mentor and develop compliance leaders and staff, building organizational capability in anticipation of future needs.
Exceptional communication and relationship-building skills across all organizational levels.
Demonstrated success in leading teams, building trust, and leading organizational change.

Bachelor's degree required.
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.
Juris Doctor (JD) from an accredited law school, with active law license.

Experience as a Chief Compliance Officer or equivalent in a large advisory organization.
Relevant professional certifications (e.g., IACCP, CRCM, CAMS, CCEP).
Experience leading compliance through growth, M&A integration, or operating model transitions.
Skills & Knowledge
Deep understanding of SEC, investment adviser, and wealth management regulations.
Expertise in compliance program management, governance, and regulatory risk oversight.
Knowledge of fiduciary duties, advisory compliance, marketing regulations, conflicts management, and regulatory reporting.
Familiarity with compliance technology platforms, workflow tools, and data-driven compliance practices.

Develop and execute a strategic vision for the compliance function that supports growth and operational excellence.

This listing is sourced directly from Mariner Careers's careers page and normalized into a canonical job model.