Responsibilities:
Lead global regulatory compliance across multiple jurisdictions and support entry into new regulated markets.
Provide strategic oversight of regulatory requirements covering alternative investments, structured products, insurance-related offerings, and public and private investment vehicles.
Oversee licensing, registrations, exemptions, regulatory obligations, and relationships with domestic and international regulators.
Establish scalable compliance policies, procedures, training programs, and control frameworks aligned with business objectives.
Serve as senior representative during regulatory examinations, audits, and inquiries while managing relationships with regulators and external advisors.
Lead enterprise financial crime programs covering AML, KYC, sanctions, fraud, transaction monitoring, and related risk areas.
Develop and maintain an enterprise risk management framework covering risk appetite, governance, assessments, reporting, and issue management.
Provide executive and board-level reporting on enterprise risk, emerging exposures, control effectiveness, and remediation priorities.
Strengthen internal control frameworks across finance, technology, legal, operations, and other key functions.
Oversee external assurance programs, audit relationships, evidence collection, control testing, and remediation activities.
Partner with technology and security teams to identify and mitigate information, data, cybersecurity, and technology risks.
