Director of Regulatory Compliance

Job Description

We are partnering with a growing financial-services firm seeking a Director of Regulatory Compliance to build and oversee its compliance framework across securities servicing, payments, financial-crime compliance, and emerging digital-asset activities.

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This is a senior, hands-on role requiring someone who can both design a compliance program and execute it. The individual will own the firm's existing regulatory obligations while helping prepare the organization for potential expansion into additional regulated financial-services activities.

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The ideal candidate brings deep transfer agent compliance experience, strong knowledge of securities regulation, hands-on tax withholding expertise, and practical ownership of AML and sanctions programs.

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Key Responsibilities

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• Lead the compliance program supporting the firm's registered transfer agent and paying agent activities.
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• Maintain policies, controls, and procedures addressing applicable SEC transfer agent requirements, including recordkeeping, safeguarding, shareholder records, reporting, and operational standards.
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• Manage regulatory filings and serve as a primary compliance contact during SEC examinations, including document production, examiner communications, findings, and remediation.
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• Oversee compliance requirements associated with dividends, interest, principal payments, redemptions, corporate actions, restricted securities, shareholder records, and related securities-servicing activities.
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• Provide compliance oversight for relationships with depositories, trustees, issuers, and other securities-market participants.
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• Establish regulatory standards for securities issued or maintained using blockchain or distributed-ledger technology, including ownership records, transfer restrictions, reconciliation, and secondary transfers.
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• Review new digital securities products and associated control frameworks prior to launch.
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• Oversee compliance considerations associated with wallet screening, blockchain analytics, transaction restrictions, and digital-asset-related customer activity.
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• Own tax withholding and information-reporting processes under IRC Chapters 3 and 4, including W-8/W-9 documentation, FATCA, treaty-rate administration, and applicable withholding requirements.
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• Oversee 1042/1042-S and 1099 reporting and related tax documentation and remediation processes.
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• Establish and maintain the firm's AML/BSA and customer due diligence framework, including written policies, risk-based KYC/KYB standards, training, testing, and ongoing monitoring.
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• Maintain the OFAC sanctions compliance program, including screening standards, escalation procedures, and applicable blocked or rejected transaction requirements.
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• Oversee compliance risk assessments, testing and monitoring plans, issue management, and regulatory remediation.
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• Partner with technology and security leadership on privacy, information-protection, and related regulatory requirements.
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• Provide regular compliance reporting to executive leadership and the Board.
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• Manage external legal and compliance resources and coordinate independent reviews or testing engagements.
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• Build and develop the compliance function as the organization grows.
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• Assess compliance requirements associated with potential future regulated activities and develop gap assessments, implementation plans, and supporting policies and controls.
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Candidate Profile

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• 10+ years of financial-services compliance experience, including experience with a registered transfer agent, paying agent, custodian, or comparable securities-services organization.
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• Deep working knowledge of SEC transfer agent regulations and related securities-servicing requirements.
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• Direct experience serving as a key firm contact during an SEC transfer agent examination.
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• Demonstrated ability to draft and implement policies and procedures, rather than solely reviewing or advising on them.
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• Hands-on experience with Chapters 3 and 4 withholding, FATCA, treaty rates, W-8/W-9 documentation, and 1042/1099 reporting in a meaningful operating environment.
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• Practical experience building or owning an AML/BSA program, including KYC/KYB and related controls.
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• Experience designing and administering an OFAC sanctions program.
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• Strong understanding of compliance risk assessments, testing, monitoring, governance, and regulatory remediation.
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• Ability to work closely with senior management, technology teams, external counsel, auditors, regulators, and the Board.
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• Experience building compliance processes in a growing or evolving regulatory environment.
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