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Managing Director

Remote:

Full Remote

Contract:

Full time

Experience:

Expert & Leadership (>10 years)

Work from:

New York (USA), United States

Offer summary

Qualifications:

Minimum ten years in financial services, Relevant compliance experience required, Five years in supervisory/managerial roles, Strong knowledge of SEC regulations, Experience with Form ADV filings.

Key responsabilities:

Oversee day-to-day administration of RCG
Collaborate with leadership on strategies
Enhance compliance policies and procedures
Supervise regulatory filing and examinations
Conduct performance reviews for RCG team

Robert Walters Human Resources, Staffing & Recruiting Large https://www.robertwaltersgroup.com/

1001 - 5000 Employees

See more Robert Walters offers

Job description

Your missions

Our client is in search of a seasoned and knowledgeable Managing Director to spearhead their Regulatory Compliance Group (RCG). This role presents the opportunity to collaborate with a team of compliance professionals, crafting and executing comprehensive Compliance Programs. The successful candidate will have the opportunity to make a significant contribution, ensuring adherence to U.S. securities laws and mitigating risks associated with business practices.

What You'll Do

As a Managing Director, your role will be pivotal in leading our client's Regulatory Compliance Group (RCG). You will be responsible for overseeing the day-to-day administration of the RCG, ensuring that all regulatory obligations are met. Your excellent managerial skills will be utilized as you collaborate with senior leadership to implement business strategies. You will also play a key role in enhancing compliance policies and procedures, directing teams during client registration processes, supervising regulatory filings, managing annual reviews of clients' Compliance Programs, leading regulatory examinations, staying updated on regulatory changes, and conducting performance reviews.

Oversee the day-to-day administration of the RCG, coordinating closely with supervisory staff
Collaborate with senior executives to implement business strategy
Ensure regulatory obligations are met efficiently and effectively
Create and enhance compliance policies, procedures, training decks, annual review reports, and forensic testing memoranda
Direct and oversee RCG teams during the client registration process with the State and/or SEC
Supervise regulatory filings process (e.g., Form ADV, Form PF)
Manage annual review of clients' Compliance Program
Lead and manage mock and actual regulatory examinations
Stay apprised of regulatory updates and SEC rulemaking
Conduct performance reviews and oversee the performance review process of the RCG team

What You Bring

Minimum ten years of financial services industry work experience; relevant compliance experience at a registered investment adviser or regulatory consulting firm is essential
At least five years of experience in supervisory and/or managerial roles
Strong knowledge of SEC registration requirements for investment advisers and SEC examination practices
Extensive experience with Form ADV and other regulatory filings
Excellent managerial, analytical and organizational skills
Excellent written and verbal communication skills
Ability to work in a high-performance culture while managing multiple projects simultaneously

What Sets This Company Apart

Our client is a leading firm that offers two ways for clients to engage their Regulatory Compliance Group: ongoing maintenance of the client’s compliance and regulatory program, and project-based work to support a client’s Compliance Program.