Compliance & Oversight Leader

Overview

Seeking an experienced professional to lead oversight, monitoring, and compliance functions within a cutting‑edge financial services firm focused on complex markets & transactions.

• 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.

• 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.