Director - Compliance (Hybrid/Remote)

4 weeks ago

Chicago Illinois, United States IQ-EQ Full time
Job Description

Director

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:

• Independently manage client relationships with limited support and advice from Managing Director/Senior Managing Director

• Provide oversight to ensure completion of all client deliverables (annual reviews, testing, advice and consulting, regulatory filings, etc.)

• Oversee revisions to compliance policies and procedures – taking a proactive approach to ensuring policies are implemented

• Conduct annual compliance reviews and internal control testing

• Oversee the preparation and submissions of regulatory filings

• Lead client trainings regarding regulatory requirements and best practices

• Continuously monitor relevant regulatory changes and assist clients in developing internal controls, accordingly

• Oversee the registration of clients as broker-dealers or investment advisers with the appropriate regulatory bodies

• Lead mock regulatory exams; as well as lead the team when providing clients SEC and FINRA exam support

• Train staff on firm processes, new regulations or takeaways from industry events

• Proactively provide practical, business friendly solutions for esoteric regulatory issues

• Cultivate a culture of community and to lead and coach junior staff

• Contribute to company initiatives outside of client engagement management, such as business development, staff management or subject matter expertise

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