Senior Vice President, Head of Compliance

Position Summary The Senior Vice President, Head of Compliance, leads and advances the firm’s enterprise-wide compliance program. As a direct report to the Chief Risk Officer, this executive is accountable for ensuring compliance policies, procedures, monitoring, testing, training, and governance activities are effective and aligned across the organization. The SVP, Head of Compliance provides strategic direction to the compliance function and may serve as the designated Chief Compliance Officer for affiliated entities. This leader partners closely with business, risk, legal, and operational teams to identify, assess, and manage compliance risks while enabling the firm’s strategic priorities and ongoing growth. The ideal candidate is a collaborative, forward-thinking leader with deep compliance expertise, sound judgment, and a passion for developing talent and fostering a high-performance culture. This role shapes the future of the compliance function by leveraging technology, automation, and digital workforce capabilities to drive effectiveness, scalability, and organizational value. Key Responsibilities Lead and continuously enhance the firm’s enterprise-wide compliance program, ensuring alignment with regulatory requirements and business objectives. Develop and execute a strategic vision for the compliance function that supports growth and operational excellence. Serve as a key advisor to the Chief Risk Officer, providing insights and recommendations on compliance risks, regulatory trends, governance, and program effectiveness. Oversee compliance policies, procedures, monitoring, testing, training, surveillance, investigations, and issue management. Manage regulatory exams, audits, inquiries, and reporting, ensuring thorough and timely engagement with internal and external stakeholders. Serve as designated Chief Compliance Officer for regulated entities as assigned. Collaborate with business, legal, risk, operations, and technology leaders to define and advance the future compliance operating model, integrating automation, AI, and digital workforce where appropriate. Identify and implement technology-enabled solutions to reduce manual work, improve consistency, and enable compliance professionals to focus on higher-value activities. Guide compliance frameworks and oversight practices to support the firm’s digital transformation and adoption of new technologies. Promote a collaborative, inclusive, and high-performing culture within the compliance team.