Director – Regulatory Compliance – Asset Management

Director – Regulatory Compliance – Asset Management

Requirements

• Bachelor’s degree
• 10+ years of experience working as a regulatory compliance professional for an asset manager/hedge fund (preferred) or a consulting firm with similar industry experience
• Knowledge of the Investment Advisers Act of 1940, the SEC and the U.S. regulatory environment

Responsibilities

• Conducting Client Risk Assessments: Work with Hedge Fund and Private Equity clients to understand their business activities that are subject to the Investment Advisers Act of 1940 and define the regulatory compliance risks.
• Drafting Policies and Document Controls: Review the client’s Code of Ethics, Compliance Manual and any other relevant documents (fund offering documents, marketing material etc.) to align policies to the business activities and best practices.
• Managing Multiple Client Engagements: Work with the Compliance practice lead to simultaneously manage the delivery of multiple engagements.
• Maintaining Pipeline: Maintain a list of CCO relationships, track new engagement opportunities, and manage marketing initiatives.
• Publishing Thought Leadership: Maintain working knowledge of proposed regulations and author and/or co-author ‘thought leadership’ to raise your profile as a professional services leader.
• Business Development: Collaborate across practice areas to understand offerings, build relationships, and identify & pursue revenue generating opportunities. Lead business development activities including development of pursuit plans/pipeline activities, provide recommendations to Marketing department for growth opportunities in key focus areas, client relationship development, program-specific positioning activities, team/resource arrangements, proposal preparation, presentations, and contract negotiations consistent with established business development processes.
• Travel: May be required to travel to and work from different company and client locations.

Preferred Qualifications

• Proficient in Microsoft office tools: Outlook, Excel, Word, PowerPoint, SharePoint, etc.
• Understanding of US, UK, EMEA, and APAC regulatory regimes
• Prior consulting experience
• Prior business development experience
• Prior supervisory experience
• Effective communication skills and the ability to work with management, product users and technology development teams in multiple locations
• Comfortable working in a fast-paced environment
• Strong analytical and problem-solving skills
• Former regulator or JD
• Master’s or other advanced degree