Website axerecruiting Axe Recruiting
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Position Overview
Axe Recruiting is partnering with a financial services organization to hire an Executive Vice President of Compliance. This executive will oversee compliance strategy, regulatory oversight, and risk management across the organization.
The EVP Compliance will work closely with leadership to develop and maintain compliance programs, support operational integrity, and ensure adherence to regulatory requirements.
This is a senior leadership role with firm-wide impact.
Key Responsibilities
Compliance Leadership
- Lead firm-wide compliance function
- Develop compliance strategy and framework
- Maintain internal compliance policies
- Oversee regulatory requirements
- Provide compliance guidance to leadership
Risk Management
- Monitor operational and regulatory risk
- Implement compliance controls
- Identify potential regulatory exposure
- Partner with leadership on risk mitigation
- Develop internal compliance procedures
Regulatory Oversight
- Maintain compliance documentation
- Support regulatory reporting requirements
- Oversee internal compliance reviews
- Monitor trading and operational activity
- Maintain governance processes
Operational Partnership
- Partner with executive leadership
- Support business growth initiatives
- Improve compliance infrastructure
- Develop compliance training programs
- Support internal audits
Qualifications
- 10+ years compliance experience
- Financial services or trading environment preferred
- Strong regulatory knowledge
- Experience leading compliance programs
- Executive-level leadership experience
- Strong communication skills
- Ability to operate in fast-paced environment
- Bachelor’s degree required
Preferred Qualifications
- Broker-dealer experience
- Trading firm experience
- Series licenses preferred
- Experience managing compliance teams
How to Apply
If you’re interested in this opportunity, please submit your resume to:
To apply for this job email your details to hiring@axerecruiting.com