Director of Compliance

Norm AI•New York City, NY

7d•$270,000 - $310,000

About The Position

Norm Ai is seeking a highly experienced Director of Compliance to design, build, and lead the company’s legal, ethical, regulatory, and data compliance program. This role will oversee behavioral compliance, professional responsibility obligations, privacy and data governance, and regulatory compliance across Norm Ai and its affiliated law firm, Norm Law. Reporting to the Chief Security Officer (CSO), this role acts as the authoritative compliance voice for the company, translating legal and regulatory obligations into policies, operational requirements, governance models and organizational behavior. The role will work cross-organizationally and ensure that the company maintains a world-class compliance posture.

Requirements

J.D. from recognized law school
8+ years of experience in regulatory, legal, or compliance leadership roles within financial services, insurance, legal services, or a similarly regulated industry.
Deep experience in professional responsibility, ethical compliance, insider trading/MNPI governance, privacy law, and data governance.
Experience defining and governing data classification and handling requirements from a policy and legal perspective.
Demonstrated ability to operationalize compliance requirements into policies, governance frameworks, and organizational processes.
Proven experience conducting compliance investigations and remediation efforts.
Excellent communication skills, including advising senior leadership and working cross-functionally with both technical and non-technical teams.

Nice To Haves

Experience supporting or working within a law firm, Managed Services Organization (MSO) model, or professional services organization.
Familiarity with AI governance, responsible AI frameworks, or emerging AI regulations.
Experience partnering with security teams on compliance frameworks (ex. SOC2, ISO 27001) without owning security execution.
Prior experience building compliance programs in high-growth startup environments.

Responsibilities

Uphold and operationalize legal and ethical obligations, including but not limited to: ABA Model Rules (confidentiality, conflicts of interest, supervision, professional independence) MSO and law firm affiliation models Insider trading, MNPI handling, and trading policies Whistleblower and escalation frameworks
Own the company-wide ethical compliance program, including codes of conduct, conflicts of interest, attestations, restricted lists, investigations, and disciplinary processes.
Advise leadership on legal and regulatory risk related to business practices, product design, and internal operations.
Own the data governance and classification policy, defining how client data, privileged legal information, MNPI, personal data, and internal information are categorized, handled, retained, and shared.
Ensure compliance with privacy and data protection laws (GDPR, CCPA/CPRA, emerging U.S. state laws, and international regimes as applicable).
Establish governance over data use, access, retention, deletion, and permissible purposes, working with Security and Engineering to ensure appropriate technical enforcement.
Review and approve workflows, tools, and processes involving sensitive, regulated, or client data.
Build and sustain a culture of compliance, accountability, and ethical decision-making across the organization.
Develop and deliver training, communications, and guidance to ensure employees understand their legal, ethical, and data-handling obligations.
Lead or oversee investigations into compliance violations and manage remediation and corrective action plans.
Support Norm Law in meeting professional responsibility standards, client confidentiality obligations, and records management requirements.
Partner closely with the Security team to: Translate regulatory, legal, and data governance requirements into security and access control expectations Validate that security controls appropriately support compliance obligations Serve as the compliance authority, while relying on Security for control design, implementation, and operation.
Serve as primary liaison to internal and external counsel on compliance matters.
Prepare documentation, evidence, and responses for audits, assessments, regulatory inquiries, and client diligence.
Monitor evolving regulations (privacy, AI governance, financial and professional services) and proactively adapt the compliance program.

Benefits

We offer a competitive salary along with equity compensation.
Our comprehensive benefits package includes a 401(k) plan with an employer match.
Employees enjoy top-tier insurance coverage, encompassing health, dental, hospital, accident, and vision plans.
For candidates needing to relocate to NYC, we provide relocation reimbursement.
You'll thrive in our fast-paced learning environment where professional growth is constant.

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