We are seeking a senior compliance leader to oversee and strengthen enterprise-wide compliance governance across a regulated financial services environment. The Head of Compliance Governance will play a critical role in ensuring adherence to regulatory requirements, internal policies, and global compliance standards under a Compliance Risk Management Framework (CRMF).
This role will act as deputy to the Chief Compliance Officer in their absence, represent the Compliance function in senior leadership discussions, and provide strategic guidance on regulatory risk management. The position also plays a key role in fostering a strong risk-aware culture and ensuring that compliance considerations are embedded across business decisions, products, and operations.
You will regularly engage with senior executives and governance committees, providing independent challenge, expert advisory, and leadership in managing compliance risks across multiple regulated business lines.
Key Responsibilities
Support the Chief Compliance Officer in overseeing enterprise compliance with applicable laws, regulatory expectations, and internal compliance requirements across all business units.
Lead compliance programs covering:
Business Conduct
Financial Crime(AML, Anti-Bribery & Anti-Corruption)
Fraud Risk
Market Conduct(including investments)
Privacy and Data Protection
Regulatory ComplianceManagement
Ensure timely preparation and submission of regulatory and management compliance reports for senior leadership, regional offices, and corporate governance bodies.
Monitor, track, and assess new and emerging regulations, ensuring proactive communication of impacts to senior management.
Partner with internal stakeholders to design, update, and implement compliance policies, procedures, and control standards.
Oversee identification and assessment of compliance obligations across products, services, and business structures.
Supervise second line of defense monitoring and testing activities, ensuring quality, consistency, and independence of compliance reviews.
Provide advisory support and challenge on compliance monitoring outputs and remediation actions.
Deliver compliance training and awareness programs across the organization.
Chair compliance committees and represent the organization in industry and regulatory forums when required.
Deputize for the Chief Compliance Officer in senior management meetings and governance discussions.
Perform other compliance leadership duties as assigned.
Qualifications
Bachelor’s degree in Law, Accounting, Finance, Business, or a related field.
Professional certification (CPA, LLB, or equivalent) is highly preferred.
Minimum of 7+ years of compliance leadership experience within insurance, asset management, or banking industries.
Strong background in financial services risk management and regulatory compliance.
Originally posted on Himalayas