Head of Regulatory Compliance

The Organization  

At TWG Group Holdings, LLC (‘TWG Global’), we are at the cutting edge of innovation and business transformation, leveraging data and AI to manage a diverse portfolio that spans Investments, Securities, Insurance, Finance, Corporate Lending, Merchant Banking, as well as Sports, Media, and Entertainment. Data is one of our most valuable assets, and our commitment to AI allows us to transform that data into a powerful competitive advantage. We are pioneering a range of data and AI services that provide real-time intelligence to both our customers and workforce, enabling them to make informed decisions within interactive, cloud-native business applications. 

As we evolve into an AI-first, model-driven, and cloud-native company, we prioritize responsible data and AI practices that protect our customers and workforce while ensuring compliance within a regulated environment. Our goal is to lead by example, acting with the highest standards of ethics, responsibility, and transparency. This commitment drives our development of cutting-edge AI/ML business applications across our diverse product and service offerings. 

Through our pioneering partnerships with major data and AI vendors, you will have the opportunity to work on transformative projects that will revolutionize marketing, distribution, customer acquisition, and internal processes. These initiatives are designed to enhance productivity, reduce costs, and create high-demand products and services. The advanced data systems we develop will grant management unparalleled access to real-time performance data, enabling swift, informed decision-making and agile business adjustments. 

Moreover, you will play a crucial role in leveraging our strategic relationships and equity positions in leading tech startups. These collaborations are not just about staying ahead of the competition—they are about creating true competitive advantages across our businesses. You will contribute to projects that are reshaping industries, from harnessing cloud-based supercomputing capabilities to driving key initiatives with major universities that are shaping the future of technology. 

At TWG Global, your work will directly contribute to our ambitious goal of generating sustained growth and superior returns, with expected annual equity returns exceeding 20%, including growing dividends. Join us as we push the boundaries of technology and innovation, delivering significant value across our portfolio while making a profound impact on the industries we serve. 

Key Responsibilities:

• Develop, implement, and manage comprehensive compliance programs across the organization
• Lead and mentor a team of compliance professionals, providing guidance, training, and development
• Monitor and interpret changes in laws, regulations, and industry standards that affect the organization
• Conduct regular risk assessments to identify potential compliance vulnerabilities
• Design and implement policies, procedures, and controls to mitigate regulatory risks
• Collaborate with legal, operations, IT, and business units to ensure compliance requirements are integrated into business processes
• Establish and maintain relationships with regulatory agencies and represent the organization in regulatory matters
• Develop and deliver compliance training programs for employees at all levels
• Lead internal compliance investigations when necessary
• Prepare and present regular compliance reports to executive leadership and the Board of Directors
• Oversee regulatory examinations, audits, and respond to regulatory inquiries
• Stay current with emerging compliance trends, especially in cybersecurity, data privacy, AI governance, and ESG

• Bachelor’s degree in business, Finance, Law, or related field (Master's degree or JD preferred)
• Minimum 16 years of progressive experience in regulatory compliance, with at least 5 years in a leadership role
• Demonstrated experience developing and implementing compliance program
• In-depth knowledge of US regulatory frameworks relevant to our industry
• Strong understanding of risk assessment methodologies and internal controls
• Experience managing relationships with regulatory agencies
• Proven leadership abilities with experience managing compliance teams

Preferred Qualifications:

• Advanced degree (MBA, JD) or relevant professional certifications such as:
• Certified Regulatory Compliance Manager (CRCM)
• Certified Compliance & Ethics Professional (CCEP)
• Certified in Risk and Regulatory Compliance (CRRC)
• Experience with compliance technology platforms and data analytics
• Background in a similar industry or regulated environment
• Experience with international regulatory frameworks
• Knowledge of emerging regulatory trends in AI governance, data privacy, and ESG

Skills and Competencies:

• Exceptional analytical and problem-solving abilities
• Strong ethical judgment and integrity
• Excellent written and verbal communication skills
• Ability to translate complex regulatory requirements into practical business solutions
• Strategic thinking with attention to detail
• Collaborative leadership style with ability to influence across all levels of the organization
• Project management skills and ability to manage multiple priorities
• Change management expertise
• Visionary leadership with the ability to anticipate regulatory developments and their strategic implications
• Exceptional executive presence and communication skills for Board and C-suite interactions
• Political savvy and sophisticated relationship management capabilities with regulators and industry leaders
• Crisis management experience and sound judgment under pressure
• Executive-level negotiation and influence skills

The expected base salary for this role is between $300,000 and $350,000 annually. A full suite of benefits is included as part of the compensation package. Relocation assistance may be provided, if applicable. A professional development allowance is also available to support continued executive education.

Our organization is committed to diversity at the executive level and maintains an inclusive environment where all qualified applicants receive consideration regardless of race, color, religion, gender, sexual orientation, gender identity, national origin, disability, or protected veteran status.