Head of Compliance

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