IQ-EQ
Managing Director- Regulatory Compliance (Alternative Assets)
IQ-EQ, New York, New York, us, 10261
Managing Director- Regulatory Compliance (Alternative Assets) Join to apply for the
Managing Director- Regulatory Compliance (Alternative Assets)
role at
IQ-EQ Managing Director- Regulatory Compliance (Alternative Assets) 3 days ago Be among the first 25 applicants Join to apply for the
Managing Director- Regulatory Compliance (Alternative Assets)
role at
IQ-EQ Get AI-powered advice on this job and more exclusive features. Company Description
Is this the next step in your career Find out if you are the right candidate by reading through the complete overview below.
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. Company 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.
Seniority level
Seniority levelAssociate Employment type
Employment typeFull-time Job function
Job functionAccounting/Auditing Referrals increase your chances of interviewing at IQ-EQ by 2x Sign in to set job alerts for “Director Regulatory Compliance” roles. New York, NY $180,000.00-$225,000.00 5 days ago New York, NY $195,000.00-$230,000.00 1 month ago Executive Vice President, Strategic Growth and Partnerships Parsippany, NJ $220,000.00-$290,000.00 1 week ago Vice President, Strategy and Business Development New York, NY $160,000.00-$210,000.00 1 day ago New York, NY $200,000.00-$250,000.00 2 weeks ago New York, NY $180,000.00-$266,500.00 2 weeks ago New York, NY $200,000.00-$240,000.00 4 months ago New York, NY $156,560.00-$214,200.00 3 days ago New York, NY $75,000.00-$180,000.00 5 days ago New York, NY $195,000.00-$230,000.00 1 week ago Vice President, Direct Private Opportunities, Multi-Asset Strategies & Solutions (MASS)Vice President, Corporate Strategy and Development New York, NY $156,000.00-$246,000.00 1 day ago New York, NY $200,000.00-$220,000.00 1 month ago New York City Metropolitan Area $150.00-$275.00 1 week ago New York City Metropolitan Area $250,000.00-$300,000.00 2 weeks ago Senior Strategic Development & Business Management Support - Vice President / Senior Vice President New York, NY $160,000.00-$240,000.00 1 week ago Vice President – Platform Strategy & Support (Private Markets Technology) New York, NY $150,000.00-$210,000.00 2 weeks ago Parsippany, NJ $130,000.00-$160,000.00 2 weeks ago Senior Vice President, Business Analysis New York, NY $102,000.00-$221,000.00 6 hours ago New York, NY $186,000.00-$288,000.00 2 weeks ago Vice President – Strategic Partnerships COE – Benefits Strategy New York, NY $127,585.00-$200,790.00 1 week ago New York, NY $125,000.00-$130,000.00 4 days ago Senior Vice President, Business Analysis New York, NY $102,000.00-$221,000.00 1 month ago Vice President, Strategic Initiatives (Hybrid) Newark, NJ $185,100.00-$250,500.00 3 days ago Content Strategy and Insights, Vice President New York, NY $125,000.00-$145,000.00 1 week ago Vice President, Global Performance Strategy Lead New York, NY $146,490.00-$230,460.00 2 weeks ago Vice President, Business Development - Client Role New York, NY $90,000.00-$1,100,000.00 1 week ago Vice President, Business Transformation Program Services - Wealth Management New York, NY $110,000.00-$185,000.00 2 weeks ago New York, NY $250,000.00-$285,000.00 1 week ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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Managing Director- Regulatory Compliance (Alternative Assets)
role at
IQ-EQ Managing Director- Regulatory Compliance (Alternative Assets) 3 days ago Be among the first 25 applicants Join to apply for the
Managing Director- Regulatory Compliance (Alternative Assets)
role at
IQ-EQ Get AI-powered advice on this job and more exclusive features. Company Description
Is this the next step in your career Find out if you are the right candidate by reading through the complete overview below.
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. Company 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.
Seniority level
Seniority levelAssociate Employment type
Employment typeFull-time Job function
Job functionAccounting/Auditing Referrals increase your chances of interviewing at IQ-EQ by 2x Sign in to set job alerts for “Director Regulatory Compliance” roles. New York, NY $180,000.00-$225,000.00 5 days ago New York, NY $195,000.00-$230,000.00 1 month ago Executive Vice President, Strategic Growth and Partnerships Parsippany, NJ $220,000.00-$290,000.00 1 week ago Vice President, Strategy and Business Development New York, NY $160,000.00-$210,000.00 1 day ago New York, NY $200,000.00-$250,000.00 2 weeks ago New York, NY $180,000.00-$266,500.00 2 weeks ago New York, NY $200,000.00-$240,000.00 4 months ago New York, NY $156,560.00-$214,200.00 3 days ago New York, NY $75,000.00-$180,000.00 5 days ago New York, NY $195,000.00-$230,000.00 1 week ago Vice President, Direct Private Opportunities, Multi-Asset Strategies & Solutions (MASS)Vice President, Corporate Strategy and Development New York, NY $156,000.00-$246,000.00 1 day ago New York, NY $200,000.00-$220,000.00 1 month ago New York City Metropolitan Area $150.00-$275.00 1 week ago New York City Metropolitan Area $250,000.00-$300,000.00 2 weeks ago Senior Strategic Development & Business Management Support - Vice President / Senior Vice President New York, NY $160,000.00-$240,000.00 1 week ago Vice President – Platform Strategy & Support (Private Markets Technology) New York, NY $150,000.00-$210,000.00 2 weeks ago Parsippany, NJ $130,000.00-$160,000.00 2 weeks ago Senior Vice President, Business Analysis New York, NY $102,000.00-$221,000.00 6 hours ago New York, NY $186,000.00-$288,000.00 2 weeks ago Vice President – Strategic Partnerships COE – Benefits Strategy New York, NY $127,585.00-$200,790.00 1 week ago New York, NY $125,000.00-$130,000.00 4 days ago Senior Vice President, Business Analysis New York, NY $102,000.00-$221,000.00 1 month ago Vice President, Strategic Initiatives (Hybrid) Newark, NJ $185,100.00-$250,500.00 3 days ago Content Strategy and Insights, Vice President New York, NY $125,000.00-$145,000.00 1 week ago Vice President, Global Performance Strategy Lead New York, NY $146,490.00-$230,460.00 2 weeks ago Vice President, Business Development - Client Role New York, NY $90,000.00-$1,100,000.00 1 week ago Vice President, Business Transformation Program Services - Wealth Management New York, NY $110,000.00-$185,000.00 2 weeks ago New York, NY $250,000.00-$285,000.00 1 week ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr