Associate Director Regulatory And Compliance

Company Description

ABOUT IQ-EQ

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

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 IQEQ’s investment adviser client by providing regulatory compliance services through oversight of the execution and continuous improvement of the client’s 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:

• Bachelor’s 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. 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 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 5,500+ 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.

We’re 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. We’re emotionally invested in our clients right from the beginning.

---