Principal Lead Enterprise Compliance

JOB SUMMARY / INTRODUCTION:

The Principal Lead – Compliance is accountable for the end-to-end ownership, delivery, and strategic evolution of technology platforms supporting the Compliance function. This includes platforms for AML/KYC, sanctions screening, conduct risk, surveillance, and regulatory reporting. The role leads engineering and delivery teams, ensures platform resilience and scalability, and aligns technology strategy with enterprise architecture, regulatory mandates, and compliance leadership. It is a key enabler of proactive compliance management, operational integrity, and audit readiness across the organization.

KEY RESPONSIBILITIES:

• Lead the engineering and delivery teams responsible for compliance platforms including Fircosoft suite (sanctions screening), Fenergo (client lifecycle management), and SAS AML (transaction monitoring).
• Define and execute the compliance technology roadmap, ensuring alignment with strategic priorities and regulatory timelines.
• Own platform architecture decisions, ensuring interoperability with core banking, risk, and finance systems.
• Drive modernization initiatives including cloud migration, API enablement, and integration with data lakes and case management systems.
• Collaborate with Compliance stakeholders to translate regulatory requirements into platform capabilities.
• Ensure platform resilience, performance, and audit readiness.
• Promote innovation through AI/ML adoption in transaction monitoring, risk scoring, and anomaly detection.
• Establish governance frameworks, delivery scorecards, and KPIs to monitor platform effectiveness.
• Provide strategic leadership and operational oversight for all compliance platform initiatives.
• Maintain delivery roadmaps, capacity plans, and resource forecasts.
• Ensure compliance with IT governance, cybersecurity, and data protection standards.
• Track and report KPIs including platform uptime, alert resolution rates, and regulatory submission accuracy.
• Partner with enterprise architecture, infrastructure, and data teams to ensure platform alignment and resilience.
• Contribute to budgeting, vendor selection, and contract management for compliance technology initiatives.
• Foster a culture of accountability, innovation, and continuous improvement across the compliance technology landscape.

REQUIREMENTS / QUALIFICATIONS:

• Exp Overall : 15+ Years, Banking 10+ Years
• Compliance Technology Leadership: Proven experience in delivering platforms across AML, KYC, sanctions, and regulatory reporting.
• Domain Expertise: Deep understanding of compliance frameworks, conduct risk, and surveillance technologies.
• Team Leadership & Talent Development: Skilled in leading cross-functional engineering teams and fostering a high-performance culture.
• Architecture & Engineering Oversight: Expertise in designing secure, scalable, and modular compliance platforms.
• Regulatory Compliance: Familiarity with FATF, OFAC, GDPR, local central bank regulations, and global compliance standards.
• Data & Analytics: Experience with compliance data models, case management, and reporting tools.
• Strategic Alignment: Ability to align platform strategy with Compliance, Risk, and Enterprise Architecture counterparts.
• Vendor & Partner Management: Skilled in managing compliance solution providers, system integrators, and SaaS platforms.