Head of Core Compliance
A leading, well-established financial services firm is seeking a Head of Core Compliance to lead and evolve its firmwide regulatory compliance framework. This senior leader will play a critical role in ensuring regulatory obligations are met while fostering a strong, values-driven culture of compliance across the organization.
This role offers the opportunity to partner closely with business leaders and control functions in a fast‑paced, highly regulated environment.
Responsibilities :
- Oversee employee-related compliance programs, including personal trading, conflicts of interest, outside business activities, licensing, registration, and training initiatives
- Design, manage, and enhance firmwide compliance programs covering areas such as personal trading surveillance, gifts and entertainment, conflicts management, and employee disclosures
- Oversee licensing and registration requirements
- Develop, implement, and maintain compliance policies and procedures
- Serve as a trusted advisor to senior leaders and employees on regulatory mattters
- Manage employee attestations, disclosures, and related compliance workflows
Requirements :
- Bachelors Degree
- 9+ years years of experience
- Strong knowledge of Code of Ethics requirements, personal trading, conflicts of interest, licensing, and registration obligations
- Demonstrated success managing or overseeing enterprise-level compliance programs
- Familiarity with surveillance frameworks and compliance technology is a plus
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