Compliance & Oversight Leader
Compliance & Oversight Leader
Salary: $155,000-$165,000
Location: Connecticut (Hybrid model)
Overview Seeking an experienced professional to lead oversight, monitoring, and compliance functions within a cutting-edge financial services firm focused on complex markets & transactions.
Key Responsibilities
Manage a team responsible for reviews, monitoring activities, escalations, and issue resolution.
Oversee onboarding controls, including licensing, background checks, and ongoing eligibility verification.
Maintain strong standards for documentation, consistency, and regulatory alignment.
Improve testing and monitoring programs, including surveillance and corrective action processes.
Make informed decisions on complex oversight matters and risk mitigation.
Use data and reporting to identify trends and strengthen controls.
Collaborate with internal partners on regulatory requirements and operational changes.
Deliver training on compliance expectations and regulatory updates.
Support audits, examinations, and remediation activities.
Qualifications
Bachelor's degree required; advanced degree preferred.
5+ years in compliance, supervision, or oversight roles.
Experience in a regulated financial or insurance environment.
Leadership experience with strong accountability standards.
Knowledge of licensing, suitability, or supervisory frameworks.
Experience supporting audits or regulatory exams.
FAQs
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