Principal Compliance Officer - Information and AI

Compeer Financial • Naperville, IL

28d • Hybrid

About The Position

Compeer Financial is seeking a Principal Compliance Officer - Information and AI to lead compliance for the organization’s information domains, including privacy, information security, information governance, and AI governance. This role involves owning the obligation framework, building and executing the organization's AI governance program, and maintaining the compliance posture for these domains. The position is part of the growing legal and compliance team and offers a hybrid work environment.

Requirements

• Bachelor’s degree in a relevant field.
• Expert-level experience in compliance, information risk, privacy, security, or technology risk within financial services or a regulated environment, including enterprise-level ownership of a compliance or risk area.
• Experience developing or standing up a governance or compliance program for an emerging area, such as artificial intelligence.
• Expert knowledge of privacy, information security, and information governance obligations and the ability to operationalize them, working from counsel’s legal interpretation, into requirements and controls.
• Strong knowledge of AI governance and AI compliance risk—decisioning, data-use, and fairness—and of AI risk-management frameworks such as the NIST AI Risk Management Framework.
• Demonstrated ability to build a compliance framework for an emerging discipline where standards and law are still developing.
• Ability to design and run testing and monitoring of information controls in line with the compliance function’s standards.
• Technology fluency needed to partner credibly across technology, information security, and data teams and to translate technical realities into workable compliance requirements.
• Demonstrated ability to own a complex compliance area, develop and recommend the organization’s compliance positions, and support examinations as the domain expert.
• Integrity, objectivity, and discretion in handling confidential and sensitive information.
• Must be authorized to work for any employer in the United States.
• Compeer is unable to sponsor or take over sponsorship of an employment visa at this time.

Nice To Haves

• Advanced degree or Juris Doctor preferred.
• Experience with agricultural finance, the Farm Credit System, or another regulated financial institution (preferred).
• Relevant certifications, such as an AI governance credential (IAPP AIGP), a privacy certification (CIPP/US, CIPM), IT risk or compliance credential (CRISC, CISA) (preferred).
• Familiarity with using AI-enabled tools to support research, drafting, and workflow.

Responsibilities

• Leads compliance for the organization’s information domains, including privacy, information security, information governance, and AI governance.
• Owns the obligation framework and positions these domains rely on.
• Leads the build and execution of the organization's AI governance program.
• Accountable for maintaining the compliance posture for the domains and reporting on current client posture and standing.
• Tracks remediation and risk acceptance as appropriate.
• Owns the domain’s obligation framework and compliance risk register for the domains of privacy, information security, and information governance.
• Develops and recommends the organization’s compliance positions, monitoring changes in the regulatory landscape and drawing on counsel for legal interpretation and posture recommendations.
• Develops and recommends the organization’s compliance positions on AI obligations, including decisioning, data-use, and fairness, drawing on counsel for legal interpretation.
• Leads the development of the organization’s third party risk assessment for AI, building the framework, intake, risk assessment, and controls for AI as the discipline and law take shape and setting the approach the enterprise follows.
• Owns the assurance that controls for the assigned domain, designing and running the testing and monitoring across privacy, security, information governance, and AI controls, in line with the compliance function’s standards.
• Coordinates and tracks remediation of issues with the control owners, validating closure.
• Partners with technology, information security, data, and various affected business units advising on the regulatory landscape, identifies and strengthens controls, lands regulatory changes into processes, and reviews their first-line testing and monitoring results.
• Owns the organization’s line of sight into the domains’ compliance status, preparing materials that will give leadership, governance bodies, and the board a reliable view of posture and material risks.
• Prepares these domains for examination, responds to examiner requests, and drives findings to closure so leadership is equipped in examiner interactions, routing legal and position questions to counsel.

Benefits

• Hybrid model – up to 50% work from home
• Flexible schedules including ample flexibility in the summer months
• Up to 9% towards 401k (3% fixed Compeer contribution plus up to 6% match)
• Benefits: medical, dental, vision, HSA/FSA, life & AD&D insurance, short-term and long-term disability, wellness program & EAP
• Vacation, sick leave, holidays/floating holidays, parental leave, and volunteer paid time off
• Learning and development programs
• Mentorship programs
• Cross-functional committee opportunities (i.e. Inclusion Council, emerging professional groups, etc.)
• Professional membership/certification reimbursement and more!

What This Job Offers

• Job Type: Full-time
• Career Level: Principal