Head of Compliance
Confidential
Head of Compliance
About the Company
Innovative financial services company transforming capital markets infrastructure.
Industry
Financial Services
Type
Privately Held
About the Role
The Company is in search of a Head of Compliance to join their team. The successful candidate will be responsible for leading and maintaining the firm's regulatory compliance program, serving as the primary liaison for regulatory matters, and overseeing a wide range of compliance activities including AML, sanctions, KYC, and customer due diligence programs. This role requires the development of policies, procedures, and internal controls to ensure compliance with federal and state regulatory requirements, as well as the management of tax reporting and withholding compliance. The Head of Compliance will also be instrumental in shaping the compliance strategy, partnering with executive leadership, and preparing the organization for regulatory growth. Applicants must have a minimum of 10 years' of compliance experience in financial services, capital markets, securities operations, banking, or a similarly regulated environment. Strong knowledge of securities regulations, regulatory examinations, and compliance program management is essential. The ideal candidate will have a background in securities servicing, custody, or transfer operations, and experience with digital assets or emerging financial technologies. Professional certifications such as CAMS, CRCM, or similar compliance credentials are a plus. The role demands excellent communication skills, the ability to balance regulatory requirements with business objectives, and a proactive approach to monitoring and implementing evolving regulations.
Functions
- Finance
- Legal
Vacancy posted 3 days ago
Similar jobs that could be interesting for youBased on the Head of Compliance in Phoenix, AZ vacancy
- ...Senior Vice President, Head of Compliance About the Company Accomplished provider of personal loans & related services Industry Financial Services Type Privately Held, Private Equity-backed Founded 2002 Employees 1001-5000...Suggested
Confidential
Phoenix, AZ2 days ago - Job Title:Chief Compliance OfficerLocation:CityScapeWhat you'll do:As the Chief Compliance Officer (CCO) you'll oversee and manage the regulatory compliance framework of Western Alliance Bank and all affiliated entities. This role ensures that the bank adheres to all applicable...SuggestedFull time
- ...Chief Compliance Officer (CCO) About the Company A growing financial services and alternative investments platform scaling its compliance infrastructure. Industry Financial Services Type Privately Held About the Role The Company is in...Suggested
Confidential
Phoenix, AZ4 days ago - ...Chief Compliance Officer (CCO) About the Company Internationally renowned digital asset platform Industry Financial Services Type Privately Held About the Role The Company is in need of a Chief Compliance Officer to take on a pivotal role in leading...Suggested
- ...partnership with the Chief Medical Officer. The COO reports to the President and CEO. This role drives care delivery, regulatory compliance, quality outcomes, and workforce development while fostering a culture of accountability, innovation, and whole‑person care.Leadership...SuggestedContract workWork at office
- Chief Commercial Officer (CCO) About the Company We are an international full-service media buying and advertising company developing its own ad products. Industry Marketing and Advertising Type Privately Held About the Role The Company...
Confidential
Phoenix, AZ4 days ago - Chief Commercial Officer (CCO) About the Company Promising biotechnology company Industry Biotechnology Type Privately Held About the Role The Company is in search of a Chief Commercial Officer to lead its commercial strategy and drive growth through...
- Chief Commercial Officer (CCO) About the Company Innovative healthcare technology (HealthTech) company Industry Information Technology and Services Type Privately Held Founded 2014 Employees 51-200 Specialties healthcare information technology...
- Chief Commercial Officer (CCO) About the Company Healthcare technology company automating workflows between providers and payers. Industry Computer Software Type Privately Held, VC-backed About the Role The Company is seeking a Chief Commercial Officer...
- Chief Commercial Officer (CCO) About the Company A fast-scaling defence technology group designing and manufacturing critical hardware components for unmanned systems. Industry Defense & Space Type Privately Held About the Role The Company is seeking...
- Chief Communications Officer (CCO) About the Company Highly-regarded local organization focusing on improving the child care system Industry Individual & Family Services Type Privately Held Founded 1987 Employees 201-500 Specialties ~ child...Local area
- ...Participates in community organizations and industry functions.Ensures timely and accurate performance on assigned projects.Maintains compliance with project budgets, turnaround times, and deadlines.Who You AreBachelor’s degree in accounting required.5+ years audit...Work at officeLocal areaVisa sponsorship
$89.25k - $150.25k
...Lending Quantitative Manager role is part of a centralized team responsible for administering a comprehensive Fair Lending regulatory compliance program for American Express. The Fair Lending Program Office (FLPO) is responsible for performing quantitative analysis,...Work at office$163k - $213k
OverviewThe Director, Purchasing Process, & Compliance is responsible for the management and standardization of all activities involved in purchasing, expediting, and logistics to support operations in ensuring successful project execution. This position will ensure continuous...Contract workFor contractorsWork experience placementFor subcontractorLocal areaRemote workFlexible hours$89.25k - $150.25k
...are complete, accurate, and clearly documented to support audit, exam, and regulatory review.Partner with General Counsel, Market Compliance, LOBCO/LECO, Enterprise Bank Servicing, GFCSU/FIU, and other stakeholders to resolve complex investigations and determine...$89.25k - $150.25k
...patterns, anomalies, networks, and potential suspicious activity Respond to ad hoc data pull requests to support business and/or compliance effortsMaintain clean code and documentation to improve response times, consistency, and alignmentRepresent the team in design conversations...Work experience placement$89.25k - $150.25k
...HybridCareer Area: Analytics & Risk ManagementCompany: American ExpressDescriptionThis position will be a key member of U.S. Commercial Compliance team as Line of Business Compliance Officer with primary oversight of U.S. Corporate Card Programs including Travel and...Work at office- ...in all GRC functions to maintain an understanding of process and procedures Provides leadership with comprehensive reports of compliance-focused activities and outcomes, as requested. Requirements: ~5-7+ years' experience in Risk & Compliance Assessment, Audit...For contractorsImmediate startFlexible hours
CRG
Phoenix, AZ3 days ago - OverviewPlease note this position is based in our Phoenix, AZ Support Office. The IT Compliance Manager is responsible for ensuring Sprouts’ IT systems, policies, and processes adhere to applicable legal, regulatory, and industry standards. This role owns IT compliance...Temporary workWork at officeImmediate startFlexible hours
- ...development and execution of regulatory and rates strategy for our utility client. This role drives rate case filings and ensures compliance with state regulatory agencies while shaping long-term financial planning. The ideal candidate holds a Bachelor's in Economics or...
Kimco Staffing
Phoenix, AZ1 day ago - ...The role will assume ownership of the Third-Party Risk Management (TPRM) process to gather details on the security practices and compliance levels for each third party being considered or contracted for a solution or services to assess the potential for compromise due...Immediate startFlexible hours
Gilder Search Group
Phoenix, AZ16 hours ago - ...company where people truly BELIEVE in what they’re doing! We’re committed to bringing passion and customer focus to the business. Compliance Manager, Operations Does the thought of joining one of the fastest-growing, privately held data center companies sound exciting...Contract workLocal areaImmediate start
Aligned Data Centers
Phoenix, AZ2 days ago - ...ROLE: The ACA is seeking a highly motivated and detail-oriented Compliance Manager. This individual is primarily responsible for... ...behavior across the agency, proactively collaborating with department heads, senior management, and external stakeholders to maintain a culture...Shift work3 days per week
6AM City
Phoenix, AZ3 days ago - ...Manager, Compliance and Regulatory Affairs Suvida Healthcare LLC Phoenix, Arizona, United States About this position Who We Are At Suvida Healthcare, we are not just caregivers; we're compassionate advocates dedicated to enriching the lives of our cherished seniors. As...Contract workTemporary work
Suvida Healthcare LLC
Phoenix, AZ2 days ago $70.63k
...1 N. 24th Street, Phoenix, AZ 85008 Posting Details Salary: $70,634.30 Grade: 22 Closing Date: Open Until Filled Job Summary The Compliance Manager coordinates with the Chief Compliance Officer (CCO) and other Compliance Managers to track the regulatory requirements for...Contract workTemporary workFor contractorsArizona Department of Health Services
Phoenix, AZ4 days ago$55 - $60 per hour
...ContractKey ResponsibilitiesPerform security assessments of SaaS and third‑party vendors.Evaluate vendor controls, documentation, and compliance certifications (SOC 2, ISO, GDPR, etc.).Analyze shared responsibility models and identify security gaps.Review controls across...Hourly pay- Job Title:Senior Servicing Compliance Manager - Residential Mortgage PortfolioLocation:BiltmoreWhat you'll do:As a Senior Compliance Manager, you'll be responsible for developing, leading, and overseeing the Company’s mortgage servicing regulatory compliance program, thereby...Full time
$182.33k - $225k
Job Title:Senior Manager, Corporate Strategic PlanningLocation:CityScapeWhat you'll do:This role will oversee the execution of the Bank’s Strategic Planning Process through development, progress monitoring and collaboration across management levels to achieve effective...Full time$245k - $307.5k
Circle (NYSE: CRCL) is one of the world’s leading internet financial platform companies, building the foundation of a more open, global economy through digital assets, payment applications, and programmable blockchain infrastructure. Circle’s platform includes the world...Flexible hours$100k - $125k
...legal, and business unit leaders to understand requirements and align procurement activities with organizational goals.They ensure compliance with procurement policies, contract terms, and applicable regulations while maintaining appropriate documentation and audit...Full timeContract workWork at officeLocal areaRemote work
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Head of Compliance. Be the first to apply!
Related searches
- chief compliance officer Phoenix, AZ
- entry level compliance Phoenix, AZ
- housing compliance Phoenix, AZ
- finance compliance Phoenix, AZ
- environmental compliance Phoenix, AZ
- regulatory compliance analyst Phoenix, AZ
- customs compliance Phoenix, AZ
- compliance examiner Phoenix, AZ
- regulatory compliance specialist Phoenix, AZ
- dot compliance Phoenix, AZ