We are partnering with a growing financial-services firm seeking a Director of Regulatory Compliance to build and oversee its compliance framework across securities servicing, payments, financial-crime compliance, and emerging digital-asset activities. This is a senior, hands-on role requiring someone who can both design a compliance program and execute it. The individual will own the firm's existing regulatory obligations while helping prepare the organization for potential expansion into additional regulated financial-services activities. The ideal candidate brings deep transfer agent compliance experience, strong knowledge of securities regulation, hands-on tax withholding expertise, and practical ownership of AML and sanctions programs.
Key Responsibilities:
Lead the compliance program supporting the firm's registered transfer agent and paying agent activities.
Maintain policies, controls, and procedures addressing applicable SEC transfer agent requirements, including recordkeeping, safeguarding, shareholder records, reporting, and operational standards.
Manage regulatory filings and serve as a primary compliance contact during SEC examinations, including document production, examiner communications, findings, and remediation.
Oversee compliance requirements associated with dividends, interest, principal payments, redemptions, corporate actions, restricted securities, shareholder records, and related securities-servicing activities.
Provide compliance oversight for relationships with depositories, trustees, issuers, and other securities-market participants.
Establish regulatory standards for securities issued or maintained using blockchain or distributed-ledger technology, including ownership records, transfer restrictions, reconciliation, and secondary transfers.
Review new digital securities products and associated control frameworks prior to launch.
Oversee compliance considerations associated with wallet screening, blockchain analytics, transaction restrictions, and digital-asset-related customer activity.
Own tax withholding and information-reporting processes under IRC Chapters 3 and 4, including W-8/W-9 documentation, FATCA, treaty-rate administration, and applicable withholding requirements.
Oversee 1042/1042-S and 1099 reporting and related tax documentation and remediation processes.
Establish and maintain the firm's AML/BSA and customer due diligence framework, including written policies, risk-based KYC/KYB standards, training, testing, and ongoing monitoring.
Maintain the OFAC sanctions compliance program, including screening standards, escalation procedures, and applicable blocked or rejected transaction requirements.
Oversee compliance risk assessments, testing and monitoring plans, issue management, and regulatory remediation.
Partner with technology and security leadership on privacy, information-protection, and related regulatory requirements.
Provide regular compliance reporting to executive leadership and the Board.
Manage external legal and compliance resources and coordinate independent reviews or testing engagements.
Build and develop the compliance function as the organization grows.
Assess compliance requirements associated with potential future regulated activities and develop gap assessments, implementation plans, and supporting policies and controls.
Candidate Profile:
10+ years of financial-services compliance experience, including experience with a registered transfer agent, paying agent, custodian, or comparable securities-services organization.
Deep working knowledge of SEC transfer agent regulations and related securities-servicing requirements.
Direct experience serving as a key firm contact during an SEC transfer agent examination.
Demonstrated ability to draft and implement policies and procedures, rather than solely reviewing or advising on them.
Hands-on experience with Chapters 3 and 4 withholding, FATCA, treaty rates, W-8/W-9 documentation, and 1042/1099 reporting in a meaningful operating environment.
Practical experience building or owning an AML/BSA program, including KYC/KYB and related controls.
Experience designing and administering an OFAC sanctions program.
Strong understanding of compliance risk assessments, testing, monitoring, governance, and regulatory remediation.
Ability to work closely with senior management, technology teams, external counsel, auditors, regulators, and the Board.
Experience building compliance processes in a growing or evolving regulatory environment.
