Compliance Lead, Compliance & Ethics

Who We Are

About the Opportunity

What You’ll Be Doing

• Lead the design and build of scalable compliance programs and controls across Anti-Bribery & Corruption, Investigations, Conflicts of Interest, and eComms surveillance — developing intake workflows, monitoring frameworks, and operational procedures that grow with the function
• Own and advance eComms surveillance controls and operational processes — including the onboarding and integration of new tools and platforms — ensuring comprehensive coverage across all approved employee communication channels
• Drive eComms surveillance program oversight — monitoring coverage, assessing performance, identifying systemic gaps, and escalating material issues to appropriate resolution
• Lead investigation intake processes, including triage, case documentation, and whistleblower report handling, coordinating with Legal and HR on escalated conduct matters and cross-functional compliance projects
• Lead COI monitoring and maintain full oversight of conflicts disclosures, flagging anomalies and driving escalations to resolution
• Identify and resolve complex compliance issues across program areas, develop practical solutions, and escalate with documented rationale
• Manage compliance workstreams — policy drafts, program assessments, control builds, and gap analyses — driving them to completion and proposing process improvements along the way
• Drive adoption of AI and automation to enhance review quality, reduce manual effort, and scale program coverage across compliance workflows
• Own governance reporting across the Compliance & Ethics function — including KPI/KRI tracking, and senior leadership updates
• Develop and guide team members across compliance workflows, program operations, and platform tools

What We Look For In You

• 6+ years of experience in compliance, surveillance operations, or legal at a financial services, fintech, or crypto firm
• Hands-on experience with eComms surveillance platforms
• Deep proficiency in compliance frameworks, policies, and regulatory requirements — you apply them independently and advise others
• Proven ability to build and scale compliance programs in a fast-moving environment with limited structure
• Strong operational instincts — you execute independently, drive complete projects, and keep programs moving without direction
• Ability to identify complex compliance issues and develop practical, risk-based solutions
• Track record of developing team members and elevating the work of those around you
• Strong written communication for case documentation, escalation reporting, and governance materials

Nice to Haves

• Experience in crypto or digital assets
• Experience with AI-assisted review workflows or compliance automation tools
• Exposure to regulatory requirements governing eComms surveillance — CFTC, FCA, MAS, ASIC, or equivalent
• Familiarity with internal investigations, COI monitoring, conflicts register management, or OBA review processes
• Prior experience in a compliance function being built or scaled from the ground up

Perks & Benefits

• Competitive total compensation package
• L&D programs and Education subsidy for employees' growth and development
• Various team building programs and company events
• More that we love to tell you along the process!