Computershare U.S. · 1 day ago
Head of Regulatory Compliance & Senior Risk Manager
Columbia, MD
Full-time
Hybrid
Senior Level, Lead/Staff, Director/Executive
$180K/yr - $250K/yr
10+ years expComputershare U.S. is a global leader in financial administration with a commitment to compliance and integrity. They are seeking a CCT Head of Regulatory Compliance to lead the Compliance Program, ensure regulatory obligations are met, and foster a culture of compliance across the organization.
Financial Services
Responsibilities
Lead and manage the Compliance Program for the CCT business, ensuring policies are current and effective
Provide independent compliance advice and oversight to CCT business units, supporting regulatory filings and reporting
Act as the primary point of contact for regulatory inquiries, examinations, and internal/external audits
Support the Chief Risk Officer in advising boards and implementing risk management strategies across CTCNA, Delaware, and India entities
Implement and manage the AML/BSA Program, serving as the designated AML/BSA Officer for the CCT business
Develop and maintain a regulatory relations program with oversight bodies for CCT, CTCNA, and CDTC
Evaluate business activities for compliance risk, including cash investment and treasury practices
Lead internal investigations of compliance issues and manage crisis response plans
Educate and train employees on regulatory matters and industry best practices
Qualification
Required
Bachelor's degree in Finance, Accounting, Law, or related field
Minimum of 10 years' experience in Corporate Trust/Agency services, with at least 10 years in compliance or risk leadership
Proven track record in managing compliance and risk frameworks across complex financial services businesses
Expert knowledge of regulatory risk, operational risk, and compliance management frameworks
Strong understanding of legal requirements and controls, including Anti-Money Laundering (AML)
Excellent organizational and multitasking skills with the ability to meet strict deadlines
Strong interpersonal skills and ability to collaborate with internal teams and external auditors/examiners
High-level analytical skills and evaluative judgment based on regulatory best practices
Ability to educate and train employees on compliance matters and industry standards
Skilled in preparing accurate compliance reports and managing regulatory filings
Experience leading internal investigations and managing crisis response plans
Preferred
Juris Doctor preferred
Professional certification in compliance or risk management preferred
Benefits
Paid parental leave
Health and wellbeing rewards that can be tailored to support you and your family, including medical, dental and vision.
401k matching and tax-advantaged flexible spending plans, including healthcare, dependent care and commuter.
Short and long-term disability benefits, life insurance and supplemental life insurance.
Company
Computershare U.S.
Computershare is the world’s largest stock transfer agent that has pioneered many of the securities industry’s innovations to help companies build and maintain strong relationships with their investors, employees and customers.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Rupinder Suri
Vice President, CLO and Leveraged Loan Services
Stephanie Barton
Talent Acquisition Partner
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