Head of Compliance

Head of Compliance

About the Company

Innovative financial services company transforming the infrastructure supporting capital markets

Industry
Financial Services

Type
Privately Held

About the Role

The Company is seeking a Head of Compliance to build, oversee, and scale its regulatory compliance program as the organization grows. The role leads compliance for securities servicing and related financial operations, serves as the primary contact for regulatory examinations and filings, and oversees remediation efforts. Responsibilities include developing policies, procedures, and internal controls; managing financial crime programs; and directing tax reporting and withholding compliance. The Head of Compliance will also lead risk assessments, testing, monitoring, and executive and board reporting, while supporting future licensing and regulatory expansion. Candidates should have at least 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 required, along with experience leading AML/BSA, sanctions, KYC, and customer due diligence programs. Applicants should bring hands-on expertise in compliance governance, regulatory reporting, audits, and remediation, as well as strong project management and communication skills. Experience with securities servicing, digital assets, tax reporting, or financial institution regulatory frameworks is preferred; relevant professional certifications are a plus.

Functions

• Finance
• Legal