ziprecruiter
Director- Regulatory Compliance (Private Funds)
ziprecruiter, Dallas, Texas, United States, 75215
Job Description
All the relevant skills, qualifications and experience that a successful applicant will need are listed in the following description. 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 This position demands a high level of accuracy, critical thinking, and independent problem-solving, with a strong focus on quality and results. The role involves analyzing complex compliance issues and developing, implementing, and testing compliance programs for clients in the alternative and traditional investment sectors. It requires professionalism, sound judgment, and adaptability to client-driven schedules, while also supporting regulatory exams and outsourced Chief Compliance Officer functions. What you’ll do Manage client engagements independently, providing strategic compliance guidance with minimal oversight from senior leadership. Ensure the timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures. Lead client trainings, mock regulatory exams, and support during SEC and FINRA examinations. Stay informed of regulatory changes, guide clients in developing internal controls, and offer practical solutions to complex compliance issues. Foster a collaborative team culture, mentor junior staff, and support firm-wide initiatives such as business development and operational excellence beyond client work. What we offer Comprehensive benefits package supporting employee well-being and work-life balance. Generous paid time off, including 20 days of PTO, 7 sick days, and 10 paid holidays annually. Financial wellness support through a 401(k) plan with company match (eligibility required). Health benefits including medical, dental, vision, mental health support, and additional ancillary insurance plans. Paid parental leave and a hybrid work schedule to promote personal and professional fulfillment. Salary dependent on experience and location ($140,000-$160,000). Qualifications 10+ years of compliance experience, ideally from a registered investment adviser, law firm, investment consulting firm, or practicing law regarding registered investment companies. Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Familiarity with SEC examination practices, with hands-on experience in actual and mock exams preferred. Understanding of regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements. Ability to apply regulatory knowledge to guide clients and ensure robust, up-to-date compliance programs. Additional Information Our commitment to you and the environment Sustainability is integral to our strategy and operations. We aim to build long-term relationships with stakeholders—employees, clients, and communities—while reducing our environmental impact. We are committed to fostering an inclusive, equitable, and diverse culture, led by our Equity and Steering Committee. Our learning and development programmes (PowerU, MyCampus) invest in employees' careers. Our hybrid working approach supports balance and flexibility, enabling our 5,800+ employees across 94 locations in 25 countries to achieve their potential. Through IQ-EQ Launchpad, we support women managers launching their first fund, promoting gender balance in private equity and venture capital. We are dedicated to growing client relationships and supporting their success, understanding that their sustainability and success are linked to ours. #LI-HYBRID
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All the relevant skills, qualifications and experience that a successful applicant will need are listed in the following description. 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 This position demands a high level of accuracy, critical thinking, and independent problem-solving, with a strong focus on quality and results. The role involves analyzing complex compliance issues and developing, implementing, and testing compliance programs for clients in the alternative and traditional investment sectors. It requires professionalism, sound judgment, and adaptability to client-driven schedules, while also supporting regulatory exams and outsourced Chief Compliance Officer functions. What you’ll do Manage client engagements independently, providing strategic compliance guidance with minimal oversight from senior leadership. Ensure the timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures. Lead client trainings, mock regulatory exams, and support during SEC and FINRA examinations. Stay informed of regulatory changes, guide clients in developing internal controls, and offer practical solutions to complex compliance issues. Foster a collaborative team culture, mentor junior staff, and support firm-wide initiatives such as business development and operational excellence beyond client work. What we offer Comprehensive benefits package supporting employee well-being and work-life balance. Generous paid time off, including 20 days of PTO, 7 sick days, and 10 paid holidays annually. Financial wellness support through a 401(k) plan with company match (eligibility required). Health benefits including medical, dental, vision, mental health support, and additional ancillary insurance plans. Paid parental leave and a hybrid work schedule to promote personal and professional fulfillment. Salary dependent on experience and location ($140,000-$160,000). Qualifications 10+ years of compliance experience, ideally from a registered investment adviser, law firm, investment consulting firm, or practicing law regarding registered investment companies. Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Familiarity with SEC examination practices, with hands-on experience in actual and mock exams preferred. Understanding of regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements. Ability to apply regulatory knowledge to guide clients and ensure robust, up-to-date compliance programs. Additional Information Our commitment to you and the environment Sustainability is integral to our strategy and operations. We aim to build long-term relationships with stakeholders—employees, clients, and communities—while reducing our environmental impact. We are committed to fostering an inclusive, equitable, and diverse culture, led by our Equity and Steering Committee. Our learning and development programmes (PowerU, MyCampus) invest in employees' careers. Our hybrid working approach supports balance and flexibility, enabling our 5,800+ employees across 94 locations in 25 countries to achieve their potential. Through IQ-EQ Launchpad, we support women managers launching their first fund, promoting gender balance in private equity and venture capital. We are dedicated to growing client relationships and supporting their success, understanding that their sustainability and success are linked to ours. #LI-HYBRID
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