SVP, Regulatory Services

Who Are We:

We are COMPLY.  

For compliance people. 

COMPLY is the leading global provider of comprehensive regulatory compliance software and solutions for the financial services sector. Our OneCOMPLY™ platform provides an all-in-one approach to address firm and employee compliance requirements through a configurable and scalable software-as-a-service (SaaS) platform coupled with expert consulting services.

COMPLY serves thousands of financial services clients including Broker Dealers, Investment Banks, Private Funds, RIAs, and Wealth Managers who rely on COMPLY to power their compliance programs. 

To learn more about COMPLY, visit COMPLY.com

The Role:

COMPLY is seeking a polished and experienced compliance professional to join our Regulatory Services team as SVP, Regulatory Services. As a leader within this group, reporting directly to our Chief Regulatory Services Officer, this person will oversee a team of junior and senior compliance consultants. This role involves team leadership, strategic planning, client communication, and business development, with a focus on driving results and maintaining high-quality standards.  

• Oversee the hiring, training and performance management of our consulting teams with a specific eye towards training and developing both junior and senior level consultants.   
• Manage and lead Vice Presidents, Senior Directors, and Directors and provide training, professional development, mentorship, and client engagement support.  
• Work with the Chief Regulatory Services Officer to establish KPIs and performance metrics for individual and team performance.  
• Collaborate with internal stakeholders in product, sales and marketing to align service offerings with current market and client demands.   
• Create process frameworks and establish best practices for consulting, regulatory filings, and managed services teams.   
• Cultivate relationships with key clients and act as point of escalation on client issues.  
• Oversee the assignment and distribution of client engagements to ensure appropriate alignment with resources, interests, experience, and expertise.  
• Continuously enhance consulting services to meet the compliance needs of the marketplace.  
• Review monthly client engagement revenue and expenses with Finance and Accounting to provide insights into budgets and forecasts.
• Review monthly client engagement renewals and churn reports and develop action plans and resolution activities, where appropriate.  
• Generate services sales leads in coordination with Sales team and review proposals as needed.  
• Serve as a thought leader and spokesperson on regulatory, risk, and compliance matters at industry events and conferences.   
• Author regulatory compliance articles, presentations, media, and thought leadership artifacts.  

• 15+ years of experience in FinTech, RegTech, and/or compliance consultancy organizations with at least 5 years in a senior management role.   
• Deep knowledge of regulatory frameworks across the financial services sector.   
• Strong business acumen and ability to translate key objectives into actionable strategies.   
• Exceptional leadership, communication and cross-functional collaboration skills.   
• Proven track record of performance in a high-growth PE backed company preferred, but not required.   

To learn more about our values, mission and the wide-range of perks offered to employees at COMPLY, visit https://www.comply.com/careers/.

COMPLY is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, disability, sex, sexual orientation, gender identity, or national origin. Nothing in this job posting should be construed as an offer or guarantee of employment.

Applicants must be authorized to work for any employer in the United States. Currently, we are unable to sponsor or take over sponsorship of an employment Visa at this time.

COMPLY is aware of scammers posing as COMPLY employees and extending job offers via direct messaging, texts and social media platforms. These are fraudulent and should be treated as such. To learn more about this, please review our Statement of Fraudulent Job Offers.