Head of Assurance

The Head of Assurance leads the development and management of the global Compliance Assurance Program, focusing on evaluating compliance frameworks, ensuring strong governance, and overseeing control and issue management. This role supports the firm's global regulatory obligations and strategic objectives.

Overview

Department

Compliance

Job type

Full time

Compensation

$210,000 - $315,000 per year

Location

San Francisco, United States, North America

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Requirements

Bachelor’s degree in Law, Finance, Business, or related field.

10+ years of experience in compliance, internal audit, or risk management within financial services, ideally in crypto, fintech, or banking.

Strong understanding of global regulatory frameworks (e.g., US CFTC, US FinCEN, MFSA MiCA, UK FCA, SG MAS, Dubai VARA, etc.) and experience managing regulatory exams.

Proven track record in building and leading compliance assurance or audit functions.

Deep knowledge of compliance risk management principles and control frameworks.

Experience in monitoring and testing programs, issue management, and governance reporting.

Strong project management skills with the ability to handle multiple priorities.

Excellent communication and stakeholder management skills, with the ability to influence senior leadership.

Analytical mindset with a data-driven approach to problem-solving.

Responsibilities

Build and manage a comprehensive compliance assurance framework aligned with regulatory expectations and industry best practices.

Ensure ongoing oversight and independent testing of compliance controls to assess their effectiveness.

Drive risk-based compliance monitoring and testing programs.

Lead the firm’s response to regulatory exams and internal/external audits, ensuring a coordinated and effective approach.

Strengthen governance processes to proactively identify, escalate, and remediate compliance issues and control gaps.

Establish reporting metrics to senior leadership and regulators on compliance effectiveness and emerging risks.

Design and implement a global compliance assurance framework that aligns with regulatory requirements and business needs.

Manage and drive performance from the teams and staff within the Assurance function

Establish risk-based testing schedules focused on key compliance risks.

Conduct regular, thematic, and ad-hoc reviews of compliance processes, policies, and controls.

Develop and execute monitoring to assess ongoing control effectiveness across business units.

Ensure alignment with Issue Management and other stakeholders to resolve findings.

Maintain the compliance control inventory and issue management framework.

Oversee the timely remediation of identified issues and ensure proper root cause analysis.

Track the lifecycle of compliance issues from identification to closure.

Act as the primary point of contact for internal and external audits, as well as regulatory examinations.

Coordinate exam preparation, manage stakeholder responses, and oversee post-exam remediation.

Develop governance reporting for senior management and board-level committees on compliance effectiveness, key risks, and issues.

Establish KPIs/KRIs to measure assurance activities and control performance.

Work cross-functionally with compliance advisory, risk, legal, internal audit, and business units to align on assurance activities.

Provide expert advice on the design and implementation of effective controls and risk mitigation strategies.