A successful candidate will possess a broad swath of compliance-related experience with particular focus on Investment Advisor and Broker Dealer regulations and the associated policies, procedures, controls, monitoring, reporting and testing practices necessary to drive compliance with regulatory requirements and alignment with industry practices.

This individual will have high emotional intelligence and executive presence, with experience navigating both corporate and start-up environments. S/he will be an outstanding leader capable of managing complex product platforms with hands-on interaction in the process.

This executive should also be a highly results oriented leader with an entrepreneur mindset. S/he should have a demonstrated ability to implement compliance risk management frameworks in a highly agile organization.

You will be a Results-Oriented Strategist with a role remit that includes:

  • Owning the development of an appropriately risk-calibrated Compliance Risk Management Framework in alignment with mission critical business and product objectives
  • Defining the program requirements necessary to address regulatory requirements and industry best-practices and determining the best suited systems architecture / solutions
  • Creating buy-in and excitement across stakeholders by effectively communicating on-going evolution of functional and technical capabilities
  • Effectively aligning resources to achieve high quality and timely progress of interim tasks with the foresight and experience to course-correct and realign workstreams when justified to address critical shifting signals in regulatory landscape and industry practices
  • Ensuring all elements of the resulting Compliance Risk Management Framework are reasonably designed to drive compliance with regulatory requirements / expectations
  • Communicating effectively across all levels of the organization by creating a sense of urgency and inspiring a commitment to implement the necessary compliance-related infrastructure

The Person
This individual will be an empathetic, high-integrity leader who is able to establish and articulate a vision and actionable strategy for swift achievement of critical milestones. S/he will have had a successful career with progressive leadership roles, a track record of successful product launches and demonstrated experience building and scaling high performing teams.

The Senior Compliance Officer consultant should demonstrate the following competencies:

  • 15+ years of progressive Investment Advisor and Broker Dealer-focused compliance leadership experience
  • A financial services veteran fluent in implementing, sustaining and maturing compliance risk management programs
  • Brings a high degree of compliance expertise and business acumen in partnering with design, product, and operations teams in creating unique and differentiated user experiences
  • Has the ability to set clear and deliverable goals, and demonstrates resolve and commitment to deliver
  • Is comfortable with ambiguity and uncertainty and adept at providing stability and guidance in dynamic, cross-functional teams
  • Has the ability to navigate and shape technical and cultural integration with Compliance Risk Management Framework, where appropriate


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