Head of Compliance

Arcadia Financial Group•Manchester, NH

About The Position

The Head of Compliance is responsible for the oversight, administration, continuous improvement, and execution of Arcadia's compliance program. This role serves as the operational leader of the compliance function and partner to the Chief Compliance Officer (CCO), ensuring regulatory requirements are effectively translated into scalable processes, controls, and organizational standards. The Head of Compliance leads Arcadia's compliance operations, supervises the Compliance Specialist, evaluates compliance risks, identifies opportunities for improvement, and develops recommendations for the CCO. This position balances regulatory expertise, leadership, operational excellence, and cross-functional collaboration.

Requirements

Regulatory expertise
Leadership skills
Operational excellence
Cross-functional collaboration skills

Nice To Haves

Compliance activities operate consistently and on schedule.
Regulatory examinations are completed with minimal findings.
Compliance risks are identified proactively.
Department leaders view Compliance as a strategic business partner.
Compliance programs become more scalable and efficient each year.
Compliance Specialist is developed, engaged, and performing successfully.

Responsibilities

Own the day-to-day management of Arcadia's compliance program.
Conduct ongoing risk assessments across business operations.
Maintain oversight of WSPs, WISP, Code of Ethics, BCP, AML procedures, and related compliance frameworks.
Lead annual compliance reviews and testing programs.
Identify compliance gaps and develop corrective action plans.
Present compliance findings and recommendations to the CCO.
Oversee regulatory readiness and examination preparation.
Evaluate regulatory changes and recommend operational adjustments.
Supervise and develop the Compliance Specialist through regular one-on-one meetings, ongoing coaching, accountability discussions, and quarterly development check-ins to uphold department standards, support professional growth, and ensure successful execution of compliance responsibilities.
Establish departmental priorities and goals.
Ensure compliance activities are completed accurately and timely.
Serve as escalation point for compliance questions and investigations.
Participate as a member of Arcadia's Leadership Team by contributing to organizational planning and compliance initiatives.
Conduct a comprehensive assessment of existing compliance processes by identifying operational inefficiencies and control weaknesses.
Develop recommendations to improve effectiveness and scalability.
Partner with the Director of Operations to implement approved enhancements.
Establish compliance metrics and reporting dashboards.
Create sustainable compliance workflows and accountability structures.
Conduct annual reassessment of compliance programs and controls.
Oversee regulatory filings prepared by the Compliance Specialist.
Review advertising and marketing compliance matters.
Manage higher-risk client complaints and investigations.
Coordinate with regulators, legal counsel, and third-party compliance partners.
Prepare executive-level compliance reporting for the CCO.
Escalate material compliance concerns the CCO as needed.