Managing Director- Regulatory Compliance (Alternative Assets)

Job Description

Job DescriptionCompany Description

We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide.  We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top-15 private equity firms.

Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts. Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding. 

We’re driven by our Group purpose, to power people and possibilities.

Job Description

Key Components:

This position requires strong concern for quality and accuracy of work with a results-oriented focus. The work involves critical and technical thinking and problem solving based on detailed knowledge of all pertinent facts and thorough analysis of relevant details. There is an intense focus on complex, independent problem solving, self-direction and freedom of ideas. The individual in this position must maintain a professional demeanor and make sound, well thought-out decisions. This position requires little delegation of details or responsibilities, it is important that close, quick, and critical follow up occur to recognize and correct mistakes. The work schedule of this position will be dictated by client needs, workflow, and current deadlines. This hire will join the firm's compliance team in the assessment, development, implementation, and testing of compliance programs for our clients in the alternative and traditional investment sector, including private equity, hedge, and venture capital fund managers, in addition to providing Regulatory Exam support and outsourced Chief Compliance Officer (CCO) functions.

Responsibilities:

• Lead engagements for the development, implementation and maintenance of compliance programs for a variety of financial services firms
• Oversee staff in the development and implementation of compliance policies and procedures – taking a proactive approach to ensuring policies are implemented
• Lead annual compliance reviews and internal control testing
• Lead onsite training to clients regarding regulatory requirements and best practices
• Register clients as broker-dealers or investment advisers with the appropriate regulatory bodies
• Lead in conducting mock regulatory exams as well as assist in providing SEC and FINRA exam support
• Train staff on firm processes, new regulations or takeaways from industry events as well as oversee the development of internal training materials
• Cultivate a culture of community and lead and coach junior staff
• Proactively provide practical, business friendly solutions for esoteric regulatory issues
• Contribute to company initiatives outside of client engagement management, such as business development, staff management or subject matter expertise
• Contribute to special projects and firm initiatives

Qualifications

• 15+ years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred

• Strong working knowledge of the IA Act of 1940 and the ICA of 1940
• Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred
• Knowledge of CFTC / NFA as well as FINRA requirements is a plus

Additional Information

Salary based on experience and location ($170,000-$225,000) and full benefits package offered.

Our commitment to you and the environment
Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.

There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.

Our learning and development programs and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5,800+ employees - from 94 nationalities, across 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.

We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.

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