Sales & Distribution Compliance, SVP

ResponsibilitiesPartner with executive leadership to develop, execute, and continuously enhance a comprehensive regulatory oversight framework for the firm's securities-related activities.Provide strategic direction and governance across core risk management functions, including supervisory review processes, monitoring activities, issue resolution, regulatory filings, and control testing programs.Act as a senior resource for escalated matters involving regulatory exposure, supervisory concerns, policy interpretation, and business conduct risks.Oversee compliance considerations associated with specialized investment offerings and insurance-related products, including non-traditional investment solutions and other complex distribution channels.Participate in review and governance processes supporting the evaluation, onboarding, and ongoing oversight of investment products from a regulatory risk perspective.Maintain and enhance supervisory policies, procedures, and control documentation to support effective operational oversight.Work closely with business unit leaders to strengthen governance practices, improve control environments, and address identified risk areas.Coordinate interactions with regulatory bodies and external reviewers, including examination support, information requests, remediation efforts, and tracking of corrective measures.Evaluate emerging regulatory and industry developments and assess potential impacts on distribution practices, client engagement activities, and operational processes.Provide guidance to internal stakeholders regarding promotional initiatives, communications, and business development activities to ensure alignment with applicable requirements.Lead, coach, and support members of the compliance organization to build technical expertise, succession depth, and professional growth.Champion a culture of integrity, accountability, and sound risk management throughout the organization.