Head of Compliance

Now Hiring:
Head of Employee Compliance – Americas

A leading global financial institution is seeking a senior leader to head its Employee Compliance Program across the Americas Division. Reporting to the Head of the Ethics Office, this individual will serve as the program owner and subject matter expert, driving strategy, execution, and continuous improvement across a high-impact compliance portfolio.

• Lead and enhance the Employee Compliance Program, ensuring alignment with firm and regulatory expectations
• Oversee employee registrations & licensing, personal trading surveillance, outside business activities, political contributions, and conflicts of interest
• Serve as the primary escalation point for complex or sensitive employee conduct matters
• Manage and develop a team of compliance professionals across core program areas
• Strengthen the control framework by defining standards, procedures, and escalation thresholds
• Build and oversee a metrics-driven program (KPIs, exception trends, control effectiveness, timeliness, quality)
• Drive automation and process improvements to increase efficiency and control effectiveness
• Partner cross-functionally with Front Office, HR, Legal, Technology, Operations, Internal Audit, and Monitoring & Testing
• Ensure audit and regulatory readiness with strong documentation and issue management discipline
• Oversee relevant third-party/vendor relationships and associated risk management

• Senior compliance leader with deep expertise in employee compliance frameworks
• Strong knowledge of personal trading, licensing/registrations, OBAs, political contributions, and conflicts management
• Experience leading teams within complex, highly regulated environments
• Data-driven mindset with a focus on scalable controls and continuous improvement
• Excellent judgment and discretion in handling sensitive matters

This is a highly visible leadership opportunity to shape and mature a critical compliance program within a global financial institution.