| Title | VP of Compliance |
|---|---|
| Department | Compliance / Legal |
| Reports to | [Chief Compliance Officer / General Counsel / Board Audit Committee] |
| Location | [Remote / Hybrid / On-site] |
| Employment type | Full-time |
| Salary | [Salary range. Postings with a range perform significantly better, and several states require one.] |
Position overview
The VP of Compliance leads [Company]'s enterprise compliance program, providing the structure, policies, and monitoring that help the organization meet its regulatory obligations.
The VP partners closely with executive leadership, legal, risk, internal audit, and business units to assess compliance risk, manage regulatory change, oversee monitoring and testing, and support investigations and remediation.
As the regulatory environment grows more demanding, the VP of Compliance serves as a senior authority on the design and effectiveness of the compliance program, in line with the DOJ Evaluation of Corporate Compliance Programs and ISO 37301.
Key responsibilities
Compliance program strategy
- Lead the design and operation of the enterprise compliance program.
- Align the program with the DOJ ECCP guidance and ISO 37301.
- Assess compliance risk across the organization.
- Set program priorities and a compliance roadmap.
- Present compliance updates to leadership and the Board.
Policies and standards
Own the compliance policy framework, including:
- Code of conduct and core compliance policies
- Anti-corruption, anti-bribery, and sanctions
- Regulatory and industry-specific requirements
- Policy governance, review, and attestation
Monitoring and testing
- Design and run compliance monitoring and testing.
- Identify control gaps and drive remediation.
- Track corrective actions to completion.
- Report monitoring results to leadership.
Regulatory change
Track regulatory developments, assess their impact on the organization, and coordinate implementation of new and changing requirements across affected business units.
Investigations and remediation
Oversee intake and investigation of compliance concerns, coordinate with legal and human resources, and ensure appropriate remediation, discipline, and lessons learned.
Training and culture
- Deliver compliance training and awareness.
- Reinforce a speak-up and non-retaliation culture.
- Advise the business on compliance obligations.
- Measure and report on program effectiveness.
Program leadership
Lead the compliance team, manage compliance committees, and coordinate with risk and internal audit across the three lines of defense.
Required qualifications
- Bachelor's degree in Law, Business, Finance, or a related discipline. Advanced degree such as JD or MBA preferred.
- 10 to 15+ years of progressive experience in compliance, legal, or regulatory roles.
- 5+ years leading compliance teams or programs.
- Experience briefing executive leadership and Board committees.
- Strong knowledge of compliance program standards and regulatory expectations.
- Experience overseeing monitoring, testing, and investigations.
Preferred certifications
One or more of: CCEP, CRCM, CAMS, or a JD.
Technical knowledge
Compliance program design, regulatory risk assessment, policy management, compliance monitoring and testing, regulatory change management, investigations, anti-money laundering, anti-corruption, sanctions, and GRC platforms, aligned to the DOJ ECCP and ISO 37301.
Essential competencies
Strategic leadership, executive communication, Board presentation skills, regulatory interpretation, sound judgment, program management, change leadership, and negotiation and influence.
Success measures: first 12 months
- Assess the compliance program against the DOJ ECCP and ISO 37301.
- Refresh the compliance risk assessment.
- Update core compliance policies and the code of conduct.
- Strengthen compliance monitoring and testing.
- Establish a regulatory change management process.
- Improve investigations and remediation workflows.
- Deliver enterprise compliance training.
- Build executive and Board compliance reporting.
About [Company]
[Two or three sentences about your organization, the maturity of your program, and what the first year looks like. Candidates in this field respond to honesty about whether they are joining a build or an established function.]
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Frequently asked questions
What does a VP of Compliance do?
The VP of Compliance leads the enterprise compliance program. They own compliance policies, run monitoring and testing, manage regulatory change, oversee investigations and remediation, and report compliance risk to leadership and the Board.
What qualifications and certifications does a VP of Compliance need?
Most bring 10 to 15 or more years in compliance, legal, or regulatory roles, including at least 5 years leading compliance programs. Common certifications include CCEP, CRCM, and CAMS, and many hold a JD.
Who does a VP of Compliance report to?
The VP of Compliance typically reports to the Chief Compliance Officer, the General Counsel, or the Board Audit Committee, and coordinates closely with legal, risk, and internal audit.
What frameworks does a VP of Compliance use?
The role is guided by the DOJ Evaluation of Corporate Compliance Programs and ISO 37301, supported by the U.S. Federal Sentencing Guidelines and, in financial services, FFIEC expectations.