VP, IT Risk & Compliance

Who We Are:

Wealthspire is a leading wealth management, retirement advisory, and business management firm serving individuals, families, endowments, and institutions across the United States, Canada, and the United Kingdom. We provide a comprehensive platform that brings together wealth management, institutional consulting, business management, family office, and retirement plan advisory services - empowering clients to navigate complexity with clarity and confidence.

With over 1,200 employees across more than 40 offices, we deliver insights and solutions backed by deep research, technology, and decades of expertise. Our collective businesses create a unified ecosystem designed to meet clients wherever they are in their financial journey. Wealthspire is redefining the future of financial solutions through collaboration, scale, and a steadfast commitment to putting people first - our clients, our colleagues, and our communities.

For more information, visit www.wealthspire.com. Wealthspire Advisors LLC, Fiducient Advisors LLC, Wealthspire Retirement, LLC , dba Wealthspire Retirement Advisory, and certain other affiliates are separately registered investment advisers.

 

Summary:

The VP, IT Risk & Compliance, is responsible for leading the firm’s technology risk management and regulatory compliance programs. This role ensures that Wealthspire maintains robust governance across technology, vendor risk, and operational controls, while enabling business innovation and supporting organizational growth.

 

Key Responsibilities:

Technology Risk Management

• Maintain the enterprise IT risk framework and risk register.
• Conduct risk assessments across systems, infrastructure, and data platforms.
• Partner with technology leadership to ensure effective risk mitigation plans are implemented.

Regulatory & Audit Support

• Lead IT control programs supporting SEC, SOC 2, ISO, and internal audits.
• Coordinate with external auditors and regulatory exam teams to ensure compliance.

Vendor Risk Management

• Oversee due diligence and ongoing monitoring of technology vendors.
• Ensure third-party technology providers adhere to security and compliance standards.

Policy & Governance

• Maintain and update technology governance policies and procedures.
• Lead risk reporting to executive leadership and key stakeholders.

RFP, RFI & Client Security Questionnaires

• Develop and maintain programs to respond to RFP and RFI requests.
• Manage client security and risk questionnaires, collaborating directly with clients, vendors, and partners.

 

Qualifications:

• 15+ years of experience in IT risk, cybersecurity governance, or compliance
• Strong understanding of financial regulatory environments.
• Experience with regulatory frameworks (SEC, FINRA, SOC2, NIST)
• Bachelor’s degree (or equivalent experience) in Computer Science, Engineering, or related field, with emphasis on IT risk, cybersecurity compliance

 

What We Offer:

Wealthspire is proud to offer a competitive salary, PTO & paid holidays, 401(k) with match, and more. The base salary range for this position is $125,000 –$145,000. The base salary offered will be determined by factors including, but not limited to, experience, credentials, education, certifications, skill level required for the position, the scope of the position, and geographic location. Actual base salary offered will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives.

Wealthspire is an inclusive Equal Employment Opportunity employer.