Head of Compliance Risk Assessment

Job Title: Head of Compliance Risk Assessment

Overview

A global financial services organization is seeking a senior Compliance leader to head its firmwide Compliance Risk Assessment (CRA) program. This Executive Director–level role will own the design, execution, and continuous enhancement of the CRA framework, playing a critical role in shaping the firm’s overall compliance and risk management strategy.

Reporting into senior Compliance leadership, this individual will act as a strategic advisor to management, ensuring alignment with regulatory expectations, internal risk appetite, and evolving industry standards. The role offers significant visibility across Compliance, Risk, Audit, and First Line business teams.

Key Responsibilities

• Lead the firmwide Compliance Risk Assessment (CRA) program, including framework design, methodology, execution, and ongoing enhancement
• Own the end-to-end annual and ad-hoc compliance risk assessment process across business units and legal entities
• Partner closely with Compliance, Risk, Audit, and business stakeholders to integrate CRA outcomes into broader risk and compliance strategies
• Support development of the Annual Compliance Plan using CRA results
• Advise on control design improvements, governance frameworks, and risk mitigation strategies
• Develop executive-level reporting, dashboards, and insights to support risk-based decision-making
• Monitor regulatory developments and industry trends to keep the CRA program current and effective
• Drive automation, data analytics, and process improvements to enhance efficiency and impact
• Manage and develop a team of compliance risk professionals, fostering a culture of accountability and continuous improvement

Qualifications & Experience

• 15 years of experience within Financial Services
• 8–10 years of Compliance experience, including Compliance Risk Assessment, compliance framework development, advisory, or regulatory roles
• Strong understanding of compliance risk management frameworks and regulatory expectations, including either:
• U.S. banking regulations (FRB, FDIC, CFPB), or
• Securities / swap dealer regulations (SEC, CFTC, FINRA, NFA)
• Proven experience designing and delivering enterprise-wide Compliance Risk Assessments
• Background in Compliance Advisory covering banking products/services or capital markets/trading businesses strongly preferred
• Solid understanding of governance models, control environments, and risk metrics (KPIs, KRIs)
• Experience leveraging data analytics, risk assessment tools, and reporting technologies
• Strong project management skills with the ability to manage complex, cross-functional initiatives
• Excellent written and verbal communication skills with experience presenting to senior leadership
• 10 years of people management experience preferred

Why This Role

This is a high-impact leadership role with broad visibility and influence across the organization. The successful candidate will have the opportunity to shape the firm’s compliance risk framework, engage with senior stakeholders, and drive meaningful enhancements to how compliance risk is identified, measured, and managed.