Head of Compliance

Function: Compliance
Sector: FinTech
Location: New York

The Ask

Second Line Advisors was referred by an existing client to an early stage FinTech which was seeking an experienced compliance professional to join its growing leadership team based in New York to design, build, and lead the company’s compliance program. The co-founders’ top criteria for the Head of Compliance included a proven compliance professional comfortable with ambiguity, accountable, creative, and a cultural fit.

The Process

Given the startup nature of the client, cultural fit was top of mind when going into the market and interviewing candidates. Candidates met with both internal staff as well as astute external advisors and board members who vetted regulatory awareness and compliance philosophy. We screened candidates currently serving at both large and regional banks as well as FinTechs, consultants and regulators.

The Result

We placed an executive with compliance expertise across FinTech, consulting and financial services as well as and leadership experience building and leading teams. We guided the internal and external stakeholders on the highly active marketplace, competitive advantages and realistic nuances which go into positioning this role in the market.

The Numbers

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Candidates Screened
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Companies Mapped
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Candidates Interviewed By Client

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Head of Compliance
Case Study

Head of Compliance

Function: Compliance
Sector: FinTech
Location: New York

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