Managing Director- Regulatory Compliance (Alternative Assets)

IQ-EQ
New York, NY
Job Description
This role is for a Managing Director-Regulatory Compliance within an Investor Services group, offering end-to-end services to asset managers. The role focuses on developing and implementing compliance programs, providing regulatory support, leading examinations, and providing training to clients in the alternative and traditional investment sectors. It emphasizes practical, business-friendly solutions and a proactive approach to complex regulatory issues.

Requirements

  • Lead engagements for compliance program development and implementation
  • Oversee staff in policy and procedure implementation
  • Lead annual compliance reviews and internal control testing
  • Register clients as broker-dealers or investment advisers
  • Conduct regulatory exams and provide exam support
  • Train staff on firm processes and regulations

Benefits

  • Competitive salary
  • Comprehensive benefits package
]]>