Enhance and strengthen compliance programs, processes, and control frameworks, including identifying and implementing automation opportunities* Lead the execution of compliance testing, monitoring, and training programs* Monitor adherence to regulatory and internal compliance obligations, including portfolio and transactional compliance* Serve as a subject matter expert in document retention policies and procedures, information barriers, and portfolio and transactional compliance* Partner with internal stakeholders to collect, maintain, and safeguard key documentation and records* Identify risks, evaluate control effectiveness, and recommend enhancements to management and compliance committees* Develop and maintain a deep understanding of business functions, operational processes, and supporting technology systems* Prepare and deliver clear, accurate, and timely reports and presentations to senior stakeholders* Collaborate across business units to support compliance initiatives and operational improvements* Stay current on regulatory developments and industry best practices through ongoing training and professional engagement* Be responsible for preparing and analyzing reporting to external regulatory agencies (TIC, SEC, BEA, CFTC etc.)* Bachelor's degree in accounting, finance, economics, or a related field* Strong understanding of financial markets, investment operations, and applicable regulatory requirements* Demonstrated ability to work independently, exercise sound judgment, and appropriately escalate issues* Strong communication, organizational, and project management skills* Ability to analyze complex business processes and associated technology controlsExperience* Minimum of 10+ years of experience in financial services compliance, operations, or a related function (e.g. public accounting investment management, banking, capital markets)* Proven experience with compliance frameworks, internal controls, and operational risk management practicesPreferred Qualifications* Advanced degree (e.g., MBA, JD, MPA)* Relevant professional certifications such as CPA (Certified Public Accountant), CFA (Chartered Financial Analyst), CRCM (Certified Regulatory Compliance Manager), FRM (Financial Risk Manager)