SVP, Compliance Lead - Advisory Tech

Page Executive · Lincoln, England, United Kingdom

Location

Lincoln

Job Type

FULL_TIME

Posted

June 17, 2026

Job Description

Job Description
Serve as a strategic compliance partner to leadership teams developing advisory technology and related offerings
Provide regulatory guidance during product development, process enhancements, and new business initiatives
Collaborate across business, product, legal, and operational groups to design and maintain a comprehensive compliance program
Conduct risk assessments and support monitoring activities to identify vulnerabilities and recommend mitigating controls
Interpret regulatory changes, industry updates, and relevant rulemaking; advise on process and policy impact
Support compliance responsibilities for a FINRA‑registered broker‑dealer, including advisory input and program oversight
Partner with the Chief Compliance Officer on program execution, documentation, and regulatory preparedness
Assist with marketing and communications reviews for advisory and broker‑dealer materials, where app...
        

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