Global Compliance Assurance Senior Lead

The Global Compliance Assurance Senior Lead will be a key part of the Global Compliance team with a focus on providing support and leadership on the Compliance Assurance Program, including strategic initiatives related to compliance risk management and technology transformation globally.  This role will be reporting to the Global Head of Compliance Assurance, supporting the following:

• Compliance Assurance Review 
• Governance, Risk & Control Framework 
• Management information. Technology and Transformation Support

This role will be in the Second Line of Defense driving the compliance assurance reviews and supporting further enhancement and establishment of frameworks and governance including control and development key risk indicators and identification of opportunities for process automation.  This role will bring subject matter expertise in monitoring regulatory development in major compliance risks across business including market conduct, consumer protections, product design, development, & distribution and emerging risks (digital, Artificial Intelligence) and financial crime while maintaining global execution excellence, methodology uplift, and program advancement.  The individual will liaise with regional and local compliance teams and collaborate with other stakeholders across legal, operations, business and risk partners on various key assurance activities and initiatives for risk mitigation and regulatory compliance. 

This role will ideally sit in our New York City or Philadelphia offices.  Other locations may be considered.

Key Responsibilities:

Global Assurance Program Execution 

• Co-lead risk-based compliance reviews, including stakeholder engagement, review conclusions and findings prior to reporting finalization.
• Coordinate annual assurance plan development, attestation exercises, regulatory health checks, and year-end reporting.
• Assist in development of review guidebook and refinement of review methodology, templates, and thematic scoping materials.
• Ensure clear communication of findings & test results and monitor remediation to closure in a timely manner.

Governance, Risk & Control Development

• Provide input to the development of Frameworks, Governance, and Procedures. 
• Contribute to compliance risk taxonomy refinement, control library standardization, and issue management protocols.
• Assist in developing practical guidelines and methodologies on risk & control assessment and issue rating standards.
• Support the creation and implementation of key risk metrics and risk profile indicators.

Management Information, Technology & Transformation Support 
    •    Support rollout and integration of the GRC tool, including workflows related to risks, controls, testing, and issues.
    •    Participate in UAT, training, and readiness activities.
    •    Help build future-state automation and continuous monitoring capabilities.

Subject Matter Expertise & Emerging Risk Focus
    •    Provide subject matter guidance on consumer protection and market conduct risks and other specific compliance risks
    •    Support assurance reviews and risk reporting on digital platforms, AI governance, complaints handling, etc.
    •    Participant in internal or cross-functional working groups or forums relating to emerging regulatory risks discussion. 
 

• 6-8+ years of experience in Compliance, Legal/Regulatory, Internal Audit, Operational Risk Management or related functions within the financial industry, preferably with insurance experience. 
• Solid understanding of regulatory requirements and overlay effective controls for compliance risk mitigation.
• Strong knowledge of compliance risk management including risk and control assessments, issue resolution, and frameworks development.
• Proven ability to plan and conduct risk-based reviews, synthesize results, and produce impactful reports.
• Strong mindset for continuous improvement, creativity, and utilization of technology solutions.
• Experience in developing risk, control, and governance frameworks, methodologies, and documentation of policies and procedures.
• Experience in development of processes and procedures, control design and testing.
• Prior experience supporting technology-driven transformations and the ability to support UAT, reporting design, or tool implementation. 
•  Skilled in using data and dashboards for informing compliance risk trends and enhancing continuous monitoring. 
• Strong analytical and critical thinking with the ability