Head of Assurance

Head of Assurance

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.

Preferred Qualifications

• Professional certifications (e.g., CAMS, ICA, ACCA, CPA).
• Prior experience in a crypto exchange, fintech, or high-growth tech environment.
• Familiarity with blockchain technology, DeFi, and digital asset compliance risks.
• Experience working with GRC tools and compliance monitoring platforms.
• Regulatory exam experience with major global regulators.
• Knowledge of emerging risks in digital assets, including AML/CFT, sanctions, and market abuse.
• Ability to work in a fast-paced, agile environment while maintaining a strong compliance posture.