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 inter