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SVP, Compliance Lead - Advisory Tech

🏢
Page Executive
📍 Lincoln, United Kingdom
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Location Lincoln
📅
Posted June 10, 2026
🚗
Commute Local Area
🎯
Local Opportunity Near You!

This job is in your area. Enjoy a short commute and work close to home.

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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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    📍 Location Details

    🌆
    City
    Lincoln
    🗺️
    Country
    United Kingdom
    🚗
    Commute
    Local Area

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