Associate Director, Regulatory & Compliance
Associate Director, Regulatory & Compliance
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Job Description
Role Overview
A senior leadership position responsible for implementing strategic initiatives and driving operational excellence across multiple US regulatory & compliance & client services teams. This role drives operational excellence business growth and talent development across related units while ensuring delivery of high-quality services in a complex high-volume environment. The position focuses on departmental strategy resource optimization and cross-functional leadership. Support and assist IQEQs investment adviser client by providing regulatory compliance services through oversight of the execution and continuous improvement of the clients compliance program which meet the requirements of SEC Rules 206(4)-7 and 38a-1 including other state and federal securities laws and regulations. Work with managers in multiple capacities ranging from hedge fund private equity fund and mutual fund launches; private equity fund administration; advisory firm set-up regulatory registration and infrastructure design; ongoing regulatory compliance (SEC CFTC and 40 Act); financial controls and operational support services; compliance and operational related projects and reviews; and outsourced CFO/controller and administration services to private equity fund investments portfolio companies real estate assets and energy assets.
Core Responsibilities:
Lead multiple teams to deliver exceptional client service
Develop and implement strategic departmental plans
Ensure optimal resource allocation and utilization across teams
Drive continuous improvement in efficiency and service quality
Maintain senior-level relationships with key stakeholders
Champion risk management and compliance standards
Guide and develop managers and supervisors
Contribute to long-term business strategy and planning
Establish performance monitoring frameworks
Tasks:
Act as primary contact for complex client issues and complaints
Coordinate with other departments for integrated business solutions
Report on team performance and project status to senior leadership
Identify and mitigate operational risks
Optimize workflows for enhanced performance and productivity
Foster continuous improvement culture
Analyze department performance against objectives
Conduct stakeholder meetings to assess satisfaction
Maintain industry knowledge and best practices
Lead manager development through regular coaching sessions
Facilitate cross-departmental alignment meetings
Perform other related duties as assigned for role and business needs
Qualifications :
Educational Background:
Bachelors degree in accounting Business Administration
Advanced degree (e.g. MBA) is an advantage
Professional Experience:
15 years of progressive experience in financial services or client operations with at least 5-7 years in senior leadership roles
Additional Information :
OUR COMMITMENT TO YOU AND THE ENVIRONMENT
As a forward-looking business sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining meaningful 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. Were 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 programmes 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 5500 employees - from 94 nationalities speaking 41 languages across 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support female managers launching their first fund in an environment where only 15% of all private equity and venture capital firms are gender balanced.
Were committed to growing long-term 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. Were emotionally invested in our clients right from the beginning.
Remote Work :
No
Employment Type :
Full-time
Employment Type
Full-time
