Senior Vice President, Head of Compliance
Confidential
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
Categories
- Finance
- Financial Services
- Information Technology & Services
- Technology
- Banking
- Lending Services
- Credit
Specialties
- personal loans
- vacation loans
- auto loans
- home improvement
- consumer loans
- mortgage loans
- retail sales finance loans
- information technology
- and online lending
About the Role
The Company is seeking a Senior Vice President, Head of Compliance to lead and advance its enterprise-wide compliance program. The successful candidate will be responsible for ensuring that compliance policies, procedures, monitoring, testing, training, and governance activities are effective and aligned across the organization. This executive will provide strategic direction to the compliance function, serve as a key advisor to the Chief Risk Officer, and oversee all aspects of compliance, including managing regulatory exams, audits, and reporting. The role also involves collaborating with various teams to identify and manage compliance risks, as well as driving the future compliance operating model by integrating technology and digital workforce capabilities. Applicants for this role at the company should have a Bachelor’s degree, a Juris Doctor (JD) from an accredited law school, and a minimum of 12 years of progressive compliance experience in a relevant financial services setting. The ideal candidate will have a strong background in SEC, investment adviser, and wealth management regulations, and a proven track record in compliance program management and technology-driven transformation. Key responsibilities include leading a team, mentoring and developing staff, and fostering a high-performance culture. The role requires a leader with deep compliance expertise, strong decision-making abilities, and exceptional communication skills, who can balance regulatory, business, and risk considerations and is adept at driving change and innovation.
Hiring Manager Title
Chief Risk Officer
Functions
- Legal
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