Senior Compliance Manager

Domestic & General

. Develop and implement D&G’s risk-based US compliance program .

Posted 10/12/2026contractNorwalk • Connecticut • United StatesSeniorWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in developing and implementing compliance programs within the U.S. regulatory framework, with a strong focus on risk management, ethical conduct, and stakeholder engagement. Proven ability to lead compliance transformation initiatives and foster a culture of accountability in complex organizational structures.

Highest-signal resume keywords

U.S. Regulatory FrameworksCompliance Program DevelopmentRisk ManagementLeadership and Team ManagementStakeholder Management

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Compliance Risk AssessmentsRegulatory Compliance AdviceCompliance Controls ImplementationWhistleblowing FrameworksFinancial Crime ComplianceRegulatory Change ProcessCompliance Training DevelopmentMonitoring and Testing PlansConflicts-of-Interest ControlsCompliance Framework Design

Soft Skills

Analytical SkillsCommunication SkillsRelationship BuildingInfluencing Decision-MakingCustomer-Centric Conduct

Certifications & Qualifications

JDMBA

Industry Keywords

Financial ServicesRegulated IndustryGovernanceEthicsAccountability

About the role

Key responsibilities & impact

Develop and implement D&G’s risk-based US compliance program
Provide independent oversight, advice and challenge
Ensure adherence to federal and state regulations, industry standards and internal policies
Work with Group Compliance and US 1st Line of Defence teams on strategic priorities and 2nd Line of Defence activities
Advise the US leadership team and support compliance and ethical risk management
Design and implement a US compliance framework and operating model
Define compliance with U.S. federal and state regulatory laws
Support regulatory enquiries, examinations, information requests and remediation programs
Tailor Group policies, procedures and controls to US requirements
Provide regulatory compliance advice on products, marketing, distribution, operations and customer journeys
Develop compliance risk assessments, monitoring and testing plans
Review and implement compliance controls, including conflicts-of-interest controls
Implement whistleblowing and conflicts-of-interest frameworks
Support the US Financial Crime Enhancement Programme covering sanctions, fraud, ABC, AML/CTF and KYC/Onboarding
Implement a regulatory change process
Develop compliance training and awareness initiatives
Report compliance risks, trends, investigations and program effectiveness to senior leadership and governance bodies
Support ad-hoc compliance activities and business initiatives

Requirements

What you’ll need

Bachelor’s degree in law, Finance, Business, or related field
JD or MBA preferred
Strong experience developing a compliance function, preferably in financial services or a regulated industry
Strong knowledge of U.S. regulatory frameworks and enforcement trends
Proven transformation, leadership and team management experience
Strong analytical, communication, and stakeholder management skills
Experience building relationships with executive leadership and influencing decision-making in complex, matrix organisations
Ability to embed a culture of ethics, accountability and customer-centric conduct
Experience leading organisational change and implementing compliance transformation programmes
Strong risk management and governance experience
Experience operating in a global organisation and partnering with international Compliance, Legal, Risk and Audit teams

Benefits

Comp & perks

Hybrid working
100-year legacy and future growth opportunities
International market and territory exposure