Job Description

The Head of Enterprise Compliance is a strategic senior leader responsible for designing, executing, and continuously enhancing the firm’s Enterprise Compliance Program. This role sets the strategic direction and oversees enterprise‑wide compliance activities to ensure strong governance, effective risk mitigation, and a consistent culture of compliance across the organization.

This role will maintain and advance the Compliance risk assessment framework, ensuring alignment with evolving regulatory expectations, business activities and the firm’s global operating model. The role includes overseeing an independent, risk‑based testing and monitoring program that evaluates the effectiveness of business activities, processes, and controls. In addition, the role serves as a steward of ethical standards through oversight of the Codes of Conduct and Ethics, the firm’s policies and procedures governance framework, and enterprise training and education initiatives.

Partnering closely with global compliance subject matter experts, business leaders, and technology partners, the Head of Enterprise Compliance will leverage data, analytics, and emerging technologies, including automation and AI, to build a scalable, efficient compliance framework that strengthens control effectiveness and enhances regulatory readiness. The role is accountable for driving discipline, consistency and operational excellence across all core compliance pillars: regulatory risk assessment, policy and procedure governance, training and education, monitoring and testing, and reporting.

Responsibilities

Compliance Risk Assessment:

• Lead the identification, evaluation, and mitigation of compliance risks across the firm globally.
• Direct and conduct regular risk assessments, analyze emerging regulatory trends, and develop strategies to address potential vulnerabilities in investment activities, client interactions, and operational processes.
• Collaborate closely with global and regional compliance teams to ensure consistent standards, processes, and expectations across regions and business lines.
• Partner with Enterprise Risk Management to integrate the assessment and mitigation of compliance risks into the enterprise risk framework.

Policies & Procedures Governance:

• Lead the governance framework for enterprise‑level compliance policies and procedures.
• Ensure policies reflect current regulatory requirements, industry standards, and firm expectations.
• Partner with internal stakeholders to review, update, and communicate policy changes across the organization.

Compliance Training and Education:

• Design and deliver comprehensive training programs to educate employees at all levels on compliance obligations, ethical conduct, and risk awareness.
• Ensure global training is risk‑based, engaging, and tailored to various job functions and regulatory requirements.
• Oversee the creation of innovative and impactful educational materials, track participation and effectiveness, and promote a proactive compliance culture through e-learning modules, and ongoing communications.
• Monitor training effectiveness and embed compliance awareness into the firm’s culture.

Codes of Conduct & Ethics:

• Oversee the administration and ongoing enhancement of the firm’s Codes of Conduct and Ethics.
• Ensure effective processes to manage conflicts of interest, personal trading, outside activities, and other ethical obligations.
• Support investigations and escalations related to potential violations, ensuring timely, appropriate resolution and reporting.

Monitoring & Testing:

• Oversee an independent, risk‑based monitoring and testing program designed to identify, escalate, and mitigate compliance risks.
• Establish and maintain standardized monitoring and testing methodologies, documentation standards, and reporting protocols.
• Promote and implement AI, data analytics, and automation to improve efficiency, accuracy, and scalability.

Qualifications

Required:

• Bachelor's degree or the equivalent combination of education and relevant experience
• 15+ years of total relevant work experience and 8+ years of management experience

Preferred:

• Asset Management, Investment Management or Financial Services-Asset Management industry experience strongly preferred
• 18+years relevant compliance, regulatory, or risk management experience with 8+ years leading cross-functional teams:
  • Proficiency with modern compliance technologies, including AI‑enabled tools, data analytics platforms, and automated monitoring/testing systems
  • Strong leadership presence with the ability to influence, negotiate, and collaborate effectively across levels and functions
  • Proven track record in building and managing high-performing compliance teams in a dynamic and global environment and leading complex global initiatives
  • Deep understanding of the global regulatory landscape and emerging regulatory trends
  • Ability to set, refine, and monitor strategic priorities for the compliance function, including defining success metrics and evaluating progress
• Demonstrated ability to lead through change with a proactive approach, adaptability, and a track record of driving cross‑functional transformation
• Excellent communication, problem‑solving and critical‑thinking skills with strong attention to detail
• Strong customer‑service orientation with ability to maintain trusted relationships with senior leaders and business partners
• Outstanding organizational skills with the ability to manage multiple priorities simultaneously
• Experience leading or supporting enterprise‑level change management initiatives
• Strong analytical mindset with expertise in risk assessment, data interpretation, and issue identification along with experience designing dashboards, metrics, and KPI reporting to enable data‑driven decision‑making
• Skilled at building and maintaining strong relationships with senior stakeholders and cross‑functional partners to influence outcomes and promote alignment
• High ethical standards and sound judgment, with the ability to handle confidential or sensitive information with discretion

FINRA Requirements

FINRA licenses are not required and will not be supported for this role.

Work Flexibility

This role is eligible for hybrid work, with up to one day per week from home.