Description
Lead the enterprise compliance strategy and program, directing policies, controls, and oversight to ensure organizational adherence to legal, regulatory, and ethical standards.
- • Set enterprise compliance strategy, framework, and annual plan with executive and board approval.
- • Establish and maintain governance, policies, and standards for compliance across the organization.
- • Oversee implementation of technology and analytics to monitor compliance and control effectiveness.
- • Serve as the primary confidential escalation point and ensure anti-retaliation safeguards.
- • Direct documentation, retention, and reporting of compliance activities, complaints, and investigations.
- • Partner with General Counsel and outside counsel on complex legal and regulatory matters.
- • Align with HR to design consistent disciplinary and remediation protocols for policy violations.
- • Advise executives and business leaders on compliance obligations and risk mitigation.
- • Review and approve marketing, client, and investor communications for regulatory compliance.
- • Sponsor the enterprise training strategy and ensure delivery of role-based compliance education.
- • Determine and manage required regulatory reporting of violations and coordinate responses.
- • Coordinate and support internal and external audits and regulatory examinations.
- • Provide periodic reports and dashboards to senior management and the board on compliance performance.
- • Monitor and test compliance controls and systems; track remediation to closure.
- • Establish processes to identify, triage, and investigate potential compliance issues.
- • Publish, maintain, and communicate policies, procedures, and codes of conduct.
- • Ensure timely and accurate regulatory filings and certifications.
- • Design improvements to monitoring, communication, and enforcement mechanisms.
- • Lead risk-based compliance reviews and internal audits to validate adherence to procedures.
- • Direct, oversee, or delegate internal investigations and manage investigation protocols.
- • Oversee environmental, health and safety, privacy, financial, and operational compliance programs as applicable.
- • Approve methodologies for compliance monitoring and testing, including sampling and quality assurance.
- • Update policies and controls in response to new or revised laws, regulations, and standards.
- • Brief leadership on emerging regulatory trends and industry best practices.
- • Verify organization-wide implementation and communication of regulatory policies and procedures.
- • Lead enterprise compliance risk assessments and develop mitigation strategies.
- • Oversee and promote confidential reporting channels, including hotlines, and resolve escalations.
- • Build and manage the compliance budget, staffing, and vendor relationships.
- • Represent the organization in interactions with regulators, examiners, and industry groups.
- • Drive a culture of integrity and accountability through tone at the top and business integration.
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Management & Entrepreneurship
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Tasks & skills:
O*NET occupational data (work activities, skills, knowledge).
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This site includes information from O*NET by the U.S. Department of Labor, Employment and Training Administration (USDOL/ETA), used under the CC BY 4.0 license. Career Clutch has modified some of this information for student readability. USDOL/ETA has not approved, endorsed, or tested these modifications. O*NET® is a trademark of USDOL/ETA.
Last reviewed: Jan 2026
