Head Of US Compliance

Head of US Compliance

Location: Hybrid ways of working at our office in Norwalk, Connecticut.

Salary: Competitive

Contract Type: Permanent

Driven by our strategic expansion into the US and our exciting global growth, we now have a fantastic brand-new role for a self-motivated and hardworking individual to join our Risk & Compliance team as Head of US Compliance.  

The role will be responsible on leading and managing the U.S. compliance function, ensuring D&G adheres to all applicable federal and state regulations, industry standards, and internal policies. This role is critical in safeguarding D&G’s legal and ethical integrity and maintaining a strong compliance culture.

Reporting into the Group Director of Compliance, the role holder will be a key compliance business partner to the D&G US President and their leadership team. They will provide expert, commercially attuned compliance advice to business leaders, and senior management on regulatory requirements relevant to the US business, championing a culture of integrity and regulatory excellence.          

Key Responsibilities:

• Ensure compliance with U.S. federal and state laws (e.g., SEC, FINRA, OFAC, CFTC, DOJ, etc.).

• Serve as the primary liaison with U.S. regulatory bodies and manage regulatory examinations and audits.

• Design, implement, and maintain a robust compliance framework, working in close collaboration with the group center of excellence.

• Develop and update compliance policies, procedures, and controls ensuring these are consistent from a group perspective whilst reflecting local needs.

• Conduct compliance risk assessments and develop mitigation strategies.

• Lead, develop and implement the annual US Compliance Monitoring and testing plan and report on compliance risks and breaches to all levels of management and Executive Committees.

• Lead internal investigations and manage incident response for compliance breaches and maintain comprehensive breach logs and ensure corrective actions are taken and tracked to resolution.

• Provide a compliance advisory partnership service to the US business, including the provision of pragmatic and commercially aligned regulatory compliance advice, balancing innovation, and risk.

• Lead compliance training programs for US employees and senior leadership and promote a culture of compliance and ethical behavior across the organization.

• Advise Executive Committees on compliance matters and manage the delivery of high-quality Committee papers for the Group Risk Committee and Board Audit and Risk Committee taking an agile and continuous improvement approach.

• Manage, mentor, and develop a small team of compliance professionals fostering a collaborative and high-accountability culture, and manage team resourcing, succession planning, and skills development in partnership with HR and Learning & Development functions.

• Drive compliance awareness initiatives, embedding a culture of ethical business conduct and continuous improvement.

• Maintain subject matter expertise on relevant regulations and emerging compliance themes affecting the Group’s operations.

• Support ad-hoc compliance activities/business initiatives that may arise from time to time.

Skills and experience required:

• Bachelor’s degree in law, Finance, Business, or related field (JD or MBA preferred)

• Certified Compliance & Ethics Professional (CCEP) or Certified Regulatory Compliance Manager (CRCM).

• Previous experience in compliance, legal, or regulatory roles, preferably in financial services or a regulated industry.

• Deep knowledge of U.S. regulatory frameworks and enforcement trends.

• Proven leadership and team management experience in compliance teams.

• Strong analytical, communication, and stakeholder management skills.

Domestic & General are an equal opportunities employer which means we treat people fairly. We welcome applications from all suitably skilled persons regardless of their gender, age, race, disability, ethnic background, religion/belief, sexual orientation, gender reassignment or marital/family status.

Please note that we have a thorough referencing process, which includes criminal record checks.

At Domestic & General, we are proud of our 100-year legacy and excited about our future growth plans. We are expanding our horizons, entering new markets and territories internationally and we need your expertise to help us on the journey.