Senior Director Compliance Monitoring & Surveillance
About the role
For our client, we are seeking a Senior Director Compliance Monitoring & Surveillance to join the team of a leader in the Finance & Insurance space. This leader will own the strategy and execution of a compliance monitoring and surveillance program that helps strengthen controls and detect emerging risk across front-office activities. The role partners closely with Compliance leadership and senior stakeholders to translate regulatory expectations into practical, technology-enabled oversight. This is a highly visible position focused on improving program effectiveness, surfacing control gaps, and communicating key findings in a clear and actionable way.
Responsibilities
- Partner with Compliance leadership to set strategies and goals for compliance programs
- Lead identification of compliance control gaps and operational deficiencies
- Design and implement technology-driven surveillance solutions
- Develop and enhance risk-based compliance monitoring controls
- Summarize findings and emerging risks for Compliance leadership
- Establish key risk and performance indicators to evaluate program effectiveness
- Communicate compliance risks and trends to senior stakeholders
Qualifications
- Bachelor's degree or equivalent work experience required
- 10+ years in Compliance, Compliance Monitoring and Surveillance, Risk, or Legal in financial services
- 8+ years of leadership in compliance monitoring and surveillance programs
- FINRA Series 7 and 65, or Series 7 and 66, required
- Proven experience leveraging technology for compliance monitoring and risk detection
- Strong knowledge of SEC, FINRA, and DOL regulations relevant to front-office activities
- Exceptional communication skills for complex compliance matters
Benefits
- Comprehensive medical, dental, vision, and life insurance
- 401(k) plan with company matching contributions and financial advisory services
- Tuition reimbursement up to $5,250 per year
- Casual work environment with flexible dress code
- Generous PTO, including ten paid holidays and three floating holidays
- Paid volunteer time of 16 hours per year
- Robust leave of absence programs, including paid parental leave
Compensation
$144,900 – $210,075 annually
Location
Remote — US-based candidates only; no visa sponsorship available