Managing Director- Compliance (Alternative Assets)

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 firmsOversee staff in the development and implementation of compliance policies and procedures – taking a proactive approach to ensuring policies are implementedLead annual compliance reviews and internal control testingLead onsite training to clients regarding regulatory requirements and best practicesRegister clients as broker-dealers or investment advisers with the appropriate regulatory bodiesLead in conducting mock regulatory exams as well as assist in providing SEC and FINRA exam supportTrain staff on firm processes, new regulations or takeaways from industry events as well as oversee the development of internal training materialsCultivate a culture of community and lead and coach junior staffProactively provide practical, business friendly solutions for esoteric regulatory issuesContribute to company initiatives outside of client engagement management, such as business development, staff management or subject matter expertiseContribute to special projects and firm initiatives