Enterprise Compliance Director

The Global Risk and Compliance division (GR&C) enables FNZ Group to safely achieve its strategic objectives and protect value; to support the growth and delivery of services and propositions to the quality our clients and regulators expect.

As our Global Enterprise Compliance Director you will be responsible for designing, implementing, and managing the global compliance framework to ensure the firm adheres to all regulatory and legal requirements. It involves leading compliance initiatives across jurisdictions, maintaining a proactive approach to risk management, and fostering a culture of ethical behavior and regulatory adherence throughout the organization. You will work closely with FNZ’s executive leadership, regulators, and stakeholders across regions and business units to ensure that compliance strategies align with the firm’s strategic objectives and industry best practices. Reporting directly to the Group CRO and serving as a member of her senior leadership team, contributing on both strategic and operational matters.

We look for an experienced compliance leader with a deep understanding of global financial regulations, a commitment to ethical leadership, and the vision to build a robust compliance program that supports the firm’s strategic goals and regulatory obligations.

Compliance Program Management:

• Develop, implement, and oversee the organization’s global compliance framework, policies, and standards, ensuring alignment with regulatory requirements.
• Establish compliance objectives and key performance indicators (KPIs) that align with the firm’s strategic goals and risk appetite.
• Implement systems and processes to monitor, identify, and address regulatory and compliance risks across business units and regions.

Regulatory Monitoring & Advisory:

• Stay abreast of regulatory changes and emerging compliance requirements affecting the financial services industry, including AML, KYC, GDPR, and financial crime regulations.
• Serve as a key advisor to executive leadership on regulatory impacts and compliance strategy.
• Act as the main point of contact for regulators, auditors, and external stakeholders on compliance matters, managing responses to regulatory inquiries and examinations.

Risk Assessment & Mitigation:

• Conduct regular compliance risk assessments and gap analyses across global operations to identify potential compliance vulnerabilities.
• Collaborate with internal stakeholders to develop and implement controls, policies, and remediation plans to mitigate compliance risks.
• Oversee compliance testing, monitoring programs, and internal audits to ensure effectiveness of the compliance framework.

Policy Development & Training:

• Develop, update, and enforce compliance policies and procedures that reflect regulatory requirements and industry standards.
• Design and implement comprehensive compliance training programs to educate employees on regulatory requirements, policies, and ethical standards.
• Foster a compliance-driven culture by promoting awareness of compliance policies and the importance of ethical conduct throughout the organization.

Governance, Reporting & Communication:

• Serve as deputy chair to the Group CRO at the Global Compliance Committee responsible for oversight of the organization’s adherence to applicable laws, regulations, and internal policies on a global scale.
• Provide regular reports and updates to the Group CRO, executive team, Board and Risk & Compliance committees on compliance risks, trends, and corrective actions.
• Prepare reports and presentations on compliance initiatives, regulatory developments, and risk mitigation strategies.
• Communicate compliance expectations clearly and effectively, fostering a culture of accountability.

Leadership & Development:

• Cultivate a strong global community of compliance professionals, fostering an environment of collaboration, innovation, and ethical commitment.
• Develop talent within the GR&C division by providing coaching, performance feedback, and support for career development and continuous learning.
• Ensure regional compliance leaders are aligned with the central compliance strategy and are effectively managing local compliance obligations.
• Provide guidance to global monitoring programmes to ensure appropriate compliance risk management practices are adopted and implemented.
• Collaborate with local chief compliance officers to provide support, education and training to staff to build Compliance awareness within the organization.
• Maintain knowledge of and competence in the regulatory environments in which the organisation operates and in the financial services industry of which it forms part.
• Provide compliance consultancy to the wider organisation.
• Policy Owner of relevant Compliance Policies and procedures.
• Ensure an annual risk-based Compliance Monitoring Plans are carried out systemically across the global organisation.
• Ensure that conflicts of interest have been identified and appropriately mitigated.

About FNZ

FNZ is committed to opening up wealth so that everyone, everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry, but complexity holds firms back. 

We created wealth’s growth platform to help. We provide a global, end-to-end wealth management platform that integrates modern technology with business and investment operations. All in a regulated financial institution. 

We partner with over 650 financial institutions and 12,000 wealth managers, with US$1.5 trillion in assets under administration (AUA).

Together with our customers, we help over 20 million people from all wealth segments to invest in their future.