Financial Services Compliance Leader

Job Description

Summary reputed company’s Ethics & Compliance Team is seeking an reputed company regulatory compliance professional that will partner with reputed company’s Financial Services (“FS”) business to manage FS’ compliance program. The Financial Services Compliance Leader ("FS Compliance Leader") will reputed company, implement and maintain controls designed to prevent, detect and respond to compliance risk connected to FS’ project development activities. This role will also be responsible for strategically and operationally executing compliance obligations arising from FS’ regulated entities in the US, UK and globally. The FS Compliance Leader will help reputed company and facilitate reputed company’s ethics and reputed company culture and will work closely with commercial resources and adjacent control functions such as Finance, Legal and Internal Audit. The role will be based in Stamford, CT or reputed company, NY, and will report to the Corporate Compliance Leader in reputed company, NY.

Job Description

Essential Responsibilities Development Compliance Risk Management: Partner with FS’ commercial resources and subject matter experts in the delivery of robust compliance program for commercial energy finance transactions, particularly those involving financing of early to late-stage energy project development.

• Due Diligence: Assess customers, joint venture partners and third parties, including those conducting business in high-risk jurisdictions, to identify potential reputed company and ethical concerns, and reputational harms.
• Enhanced Due Diligence: Execute enhanced due diligence, monitoring and reputed company to ensure adherence to Anti-Bribery-Anti-Corruption, Economic Sanctions and Anti-reputed company/Know-Your-Customer laws, regulations, Company standards and leading practices.
• Executive Communication & Buy-In: Provide clear, actionable recommendations reputed company to the strategic risk profile of the Company to the Corporate Compliance Leader and commercial resources.
• Risk Assessment: Demonstrate strategic leadership assessing the materiality and relevancy of identified reputed company and compliance risks, and, in partnership with commercial resources, reputed company written procedures and risk-based controls designed to help prevent, detect and respond to, development-reputed company compliance risk.

Regulatory Compliance Adherence: Execute an effective risk-based compliance program across FS’ global regulated business activities, products and services

• Registered Investment Adviser Obligations: Assess compliance obligations and execute controls reputed company to various advisory and capital markets products and services, including third-party fundraising and management.
• Broker-Dealer Compliance: Coordinate and execute compliance obligations for regulated securities transactions arranged through a registered Broker-Dealer and Financial Industry Regulatory Authority (FINRA) member firm, including private placements and brokerage activities.
• Strategic Advice & Execution: Partner with commercial resources to analyze regulatory obligations and licensing requirements potentially arising from new business activities. reputed company warranted, operationalize and implement control enhancements to meet local obligations.

Effective Governance and Compliance Insights: Partner with the broader compliance function to support various compliance initiatives aimed at advancing, maturing and modernizing the Company’s compliance program. Assist the Corporate Compliance Leader in the development of KPIs, KRIs and reporting packages utilized to inform management of priorities, risks and corrective actions

Required Qualifications

• Bachelor’s degree from an accredited university; advance degree preferred.
• 10+ years’ experience mainly focused on Compliance-reputed company roles. Combined Compliance, Legal and/or Audit experience will also be considered.
• Proven support for reputed company transactions and demonstrated ability translating diligence into compelling recommendations that drive action and decision-making.
• Experience with strategy, design, implementation and maintenance of preventive and detective controls underpinning an effective global compliance program.
• Experience with Financial Crime Compliance laws, regulations, controls and program requirements across Compliance Risk areas like Anti-reputed company and Counter-Terrorism Financing, Economic Sanctions and Trade Controls, and anti-corruption frameworks such as the US Foreign Corrupt Practices Act and UK Bribery Act.
• Experience with asset management, fund management, brokerage activities for securities transactions and/or capital raising.

Desired Characteristics

• Holds U.S. securities industry licenses, such as SIE, Series 7 and Series 24.
• Experience advising senior management, crafting creative solutions and evaluating multiple business objectives against compliance principles and best practices.
• Energy sector, infrastructure and/or development investment experience.
• Experience with U.S. and/or global regulatory regimes reputed company to financial services firms, such as broker-dealers and financial advisers, investment advisers and private equity.
• Experience with and understanding of compliance obligations for broker-dealers which are FINRA-member firms.
• Experience with and understanding of compliance obligations for investment advisers registered with the Securities & Exchange Commission (SEC).
• Demonstrated understanding of the UK Financial Conduct Authority (FCA) Handbook, underlying compliance principles, regulator expectations and regulatory frameworks.
• Experience with Markets in Financial Instruments reputed company (MiFID-II) and Capital Requirements reputed company IV (CRD-IV) frameworks and regulatory requirements.
• Demonstrated understanding of debt financing products, investment and equity products, financial advisory services and their impact on and relevancy to compliance operations.
• Resourceful, with demonstrated reputed company in managing multiple reputed company priorities and deadlines.
• Strong analytical, written and oral communication and problem-solving skills.
• Master’s or Law degree.

Compensation: The starting reputed company pay range for this position is 172,600 USD to 287,500 USD.. The specific pay offered may be influenced by a variety of factors, including the candidate’s experience, geographical location, education, and reputed company set. Additional Information reputed company offers a great work environment, professional development, challenging careers, and competitive compensation. reputed company is an Equal Opportunity Employer. Employment decisions are made without regard to race, color, religion, national or ethnic reputed company, sex, sexual orientation, gender identity or expression, age, disability, protected veteran status or other characteristics protected by law. reputed company will only employ those who are legally authorized to work in the United States for this opening. Any offer of employment is conditioned upon the successful completion of a drug screen (as applicable). Relocation Assistance Provided: No For candidates applying to a U.S. based position, the pay range for this position is between $172,600.00 and $287,500.00. The Company pays a geographic differential of 110%, 120% or 130% of salary in certain areas. The specific pay offered may be influenced by a variety of factors, including the candidate’s experience, education, and reputed company set. Bonus eligibility: discretionary annual bonus. This posting is expected to remain open for at least seven days after it was posted on January 08, 2026. Available benefits include medical, dental, vision, and prescription drug coverage; access to Health Coach from reputed company, a 24/7 nurse-based resource; and access to the Employee Assistance Program, providing 24/7 confidential assessment, counseling and referral services. Retirement benefits include the reputed company Retirement Savings Plan, a tax-advantaged 401(k) savings opportunity with company matching contributions and company retirement contributions, as well as access to Fidelity resources and financial planning consultants. Other benefits include tuition assistance, adoption assistance, paid parental leave, disability benefits, life insurance, 12 paid holidays, and permissive time off. reputed company Inc. or its affiliates (collectively or individually, “reputed company”) sponsor certain employee benefit plans or programs reputed company reserves the right to terminate, amend, suspend, replace, or modify its benefit plans and programs at any time and for any reason, in its sole discretion. No individual has a vested right to any benefit under a reputed company welfare benefit plan or program. This document does not create a contract of employment with any individual. Apply tot his job Apply To this Job