Head of Compliance, Financial Services – NYC

MillTech; New York (NY); Hybrid; USD 180,000 - 260,000; Full time

Benefits offered by this job

Competitive salary

25 days’ annual leave plus service day

Staff development and training

Flexible working including remote

Healthcare

401(k) with employer match

Job summary

MillTech, headquartered in London with a New York office, is seeking a Compliance Officer to lead the compliance function in New York. Reporting to the Group Chief Compliance Officer, you will design, implement, and continuously improve the program to enable business growth with strong risk controls.

You will own the compliance program across all lines of business, liaison with regulators, oversee AML/KYC and sanctions programs, and guide the business on regulatory developments.

Qualifications

• 10+ years of compliance experience in financial services, with 5+ years in a senior leadership role (CCO, Deputy CCO, or equivalent).
• Deep knowledge of SEC, FINRA, NFA and NYDFS regulatory frameworks; hands-on experience managing regulatory examinations.
• Expertise in AML/BSA, sanctions, and anti-fraud regimes.
• Relevant certifications (CAMS, CRCP, or similar) preferred.
• FINRA Series 14 or 24

Responsibilities

• Own and evolve the firm's compliance program, policies, and code of ethics across all business lines.
• Liaise with regulators (SEC, FINRA, NFA, others); manage examinations, inquiries and filings.
• Oversee AML, KYC, sanctions programs, including monitoring and reporting.
• Monitor regulatory developments and translate them into practical guidance for the business.
• Lead compliance risk assessments, testing, surveillance, and remediation of identified issues.
• Advise senior leadership on compliance risks affecting new products, markets, and strategic initiatives.
• Build, mentor, and scale a high performing compliance team; foster a strong culture of compliance.
• Deliver compliance training and manage employee certifications, personal trading, and conflicts of interest programs.

Skills

Regulatory leadership

Stakeholder influence

Communication

Risk assessment

Education

CAMS certification

CRCP certification

Job description

MillTech, headquartered in London with a New York office, is seeking a Compliance Officer to lead the compliance function in New York. Reporting to the Group Chief Compliance Officer, you will design, implement, and continuously improve the program to enable business growth with strong risk controls.

You will own the compliance program across all lines of business, liaison with regulators, oversee AML/KYC and sanctions programs, and guide the business on regulatory developments.