Head of Regulatory Compliance & Senior Risk Manager

JOB DESCRIPTION

Location: New York NY, Columbia MD, Jersey City NJ, Saint Paul MN, Canton MA (Hybrid)

In this position, you'll be based in one of our New York, Columbia, Jersey City, Saint Paul or Canton offices for a minimum of three days a week, with the flexibility to work from home for some of your working week. Find out more about our flexible work culture at computershare.com/flex.

We give you a world of potential

Take the lead in shaping regulatory strategy and governance -where your expertise will drive compliance excellence and strengthen trust across the financial services landscape. We are currently recruiting a CCT Head of Regulatory Compliance to join our team.

A role you will love

As the CCT Head of Regulatory Compliance, you'll play a critical leadership role in ensuring our organization meets its regulatory obligations while driving a culture of compliance and integrity. You'll work across departments, engage with industry bodies, and help shape the future of our compliance framework.

Some of your key responsibilities will include:

• Lead and manage the Compliance Program for the CCT business, ensuring policies are current and effective
• Provide independent compliance advice and oversight to CCT business units, supporting regulatory filings and reporting
• Act as the primary point of contact for regulatory inquiries, examinations, and internal/external audits
• Support the Chief Risk Officer in advising boards and implementing risk management strategies across CTCNA, Delaware, and India entities
• Oversee the Financial Risk Officer function, including the development of a stress testing program
• Implement and manage the AML/BSA Program, serving as the designated AML/BSA Officer for the CCT business
• Develop and maintain a regulatory relations program with oversight bodies for CCT, CTCNA, and CDTC
• Evaluate business activities for compliance risk, including cash investment and treasury practices
• Lead internal investigations of compliance issues and manage crisis response plans
• Educate and train employees on regulatory matters and industry best practices

• Bachelor's degree in Finance, Accounting, Law, or related field; Juris Doctor preferred
• Minimum of 10 years' experience in Corporate Trust/Agency services, with at least 10 years in compliance or risk leadership
• Proven track record in managing compliance and risk frameworks across complex financial services businesses
• Professional certification in compliance or risk management preferred
• Expert knowledge of regulatory risk, operational risk, and compliance management frameworks
• Strong understanding of legal requirements and controls, including Anti-Money Laundering (AML)
• Excellent organizational and multitasking skills with the ability to meet strict deadlines
• Strong interpersonal skills and ability to collaborate with internal teams and external auditors/examiners
• High-level analytical skills and evaluative judgment based on regulatory best practices
• Ability to educate and train employees on compliance matters and industry standards
• Skilled in preparing accurate compliance reports and managing regulatory filings
• Experience leading internal investigations and managing crisis response plans