Director, Compliance Monitoring and Oversight

📋 Description

• Global framework strategy: Own the strategic evolution of the Compliance Monitoring and Oversight framework. You will refine our global methodology for testing, sampling, and reporting to ensure it remains best-in-class and responsive to new regulatory expectations
• Team leadership: Lead, mentor, and develop a global team of monitoring specialists. You will foster a culture of curiosity, rigor, and objective challenge
• Annual assurance planning: Design and execute the Annual Compliance Monitoring Plan. You will utilize a dynamic, risk-based approach to prioritize testing activities across high-risk products, jurisdictions, and operational processes
• Insight & reporting: Translate complex testing results into high-impact, actionable intelligence. You will provide regular reporting to the FCC and company leadership, highlighting trends, systemic issues, and remediation progress
• Stakeholder partnership: Act as a strategic partner to Regional MLROs and First Line Operational leads. You will ensure that monitoring findings are constructive, clearly understood, and that remediation plans are practical and effective
• Data-driven assurance: Drive the transition towards continuous monitoring and automated testing. You will champion the use of data analytics to identify risk trends that manual sampling might miss

🎯 Requirements

• 12+ years of experience in Compliance Assurance, Internal Audit, or Regulatory Testing within the financial services or fintech sector
• Significant experience managing international teams, with a track record of developing senior talent (e.g., managing managers)
• You can see the big picture. You know how to pivot a monitoring program from a manual, transactional model to a strategic, risk-based assurance model
• Deep understanding of testing methodologies (design effectiveness vs. operating effectiveness), sampling strategies, and root cause analysis
• Exceptional executive presence. You are comfortable presenting "bad news" constructively to C-level executives and driving consensus on remediation
• Experience working across multiple regulatory jurisdictions (e.g., US, UK/EU, APAC)