Compliance Leader – Conduct, Complaints & Compliance Assurance in Halifax

Allshores is seeking an experienced

Compliance Leader – Conduct, Complaints & Compliance Assurance to lead the governance, oversight, and assurance framework for conduct risk, complaints, fraud, privacy, compliance training, and monitoring & testing across Bermuda and the Caribbean.

This senior leadership role is responsible for ensuring compliance controls are effective, key risks are identified and escalated, remediation efforts are validated, and reporting is clear, defensible, and Board-ready.

Primary Responsibilities

• Lead governance, reporting, and oversight for conduct risk, complaints, fraud, and privacy compliance.
• Identify trends, root causes, and emerging risks, ensuring timely escalation and remediation.
• Drive consistency and enhancement of customer-impact and compliance processes.
• Lead thematic reviews and investigations across key risk areas.
• Compliance Assurance & Monitoring
• Own the Compliance Monitoring & Testing program, including planning, execution, reporting, and remediation validation.
• Establish and maintain assurance methodologies, standards, and documentation requirements.
• Assess control effectiveness and provide actionable recommendations to management.
• Deliver audit- and regulator-ready assurance reporting.
• Training Governance
• Oversee mandatory compliance training governance, completion monitoring, and exception management.
• Ensure training requirements remain aligned with regulatory and business needs.
• Partner with HR and operational teams while maintaining Compliance ownership and oversight.
• Leadership & Stakeholder Management
• Prioritize portfolio activities based on regulatory risk, customer impact, and business priorities.
• Prepare and present Board-ready reporting on compliance, conduct risk, complaints, training, fraud, and privacy matters.
• Collaborate closely with Risk, Legal, HR, IT, Operations, and Compliance stakeholders.
• Escalate significant issues, control weaknesses, and remediation concerns to senior leadership.
• People Leadership & Capability Building
• Lead and develop Compliance Analysts through coaching, quality review, and performance management.
• Strengthen assurance capabilities, documentation standards, and analytical approaches.
• Champion the use of data, automation, and AI to enhance compliance oversight and operational efficiency.

Skills, Experience & Attributes

• Bachelor's degree in Business, Finance, Law, Risk, Compliance, Audit, or a related field.
• 8–12+ years' experience in compliance assurance, conduct risk, complaints governance, monitoring and testing, privacy, fraud, audit, risk, or control functions within insurance or regulated financial services.
• Demonstrated experience designing, leading or materially overseeing monitoring and testing programs with audit-ready documentation and defensible findings.
• Strong judgement and ability to assess severity, identify themes, challenge remediation quality, and produce Board-ready assurance reporting.
• Experience leading or coordinating remediation activity across business teams and validating closure evidence.
• Strong written and verbal communication skills, including drafting clear findings, recommendations, escalation papers, executive summaries, and management/Board reporting.
• Proficiency in Microsoft Office and AI tools, including Copilot, with comfort using compliance workflow tools, trackers, document repositories, dashboards and data-driven MI.
• Experience with complaints systems and/or CRM tooling and associated governance practices.
• Experience with LMS reporting and training completion oversight, including Vinci Works or similar platforms, as a control effectiveness indicator.
• Experience with privacy, fraud or customer-impact governance in a regulated financial services or insurance environment.
• Professional compliance qualification, or interest in pursuing one, e. g., ICA, ACAMS, or similar.
• Practical interest in applying data, analytics, automation and AI to compliance work, including improving MI, enhancing monitoring and testing insights, strengthening documentation and evidence trails, and reducing manual effort through smarter workflows and controls.
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