Director, Compliance Consulting

Total Compensation is targeted at $225K - $275K. To be determined based on candidate's credentials, experiences, and potential value to the department / firm.

Director, Compliance Consulting

Position Overview:

Our client is a global, industry-leading compliance consultancy firm specializing in delivering best-in-class, end-to-end regulatory and compliance solutions including FCA, SEC and CFTC/NFA consulting.  They provide customized and personalized outsourced compliance services across the financial services spectrum including Investment Advisory (MiFID) Regulatory and Investment Management (AIFMD) Regulatory Hosting.  Clients include start-ups to firms with multi-billions in assets under management (AUM), including Investment / Asset / Wealth Managers, Hedge Funds, Fund of Funds, Family Offices, Special Purpose Vehicles (SPVs), Private Equity, Banks, Offshore Funds and other Private Funds.

Currently in active growth mode, they seek to add experienced professionals who will oversee and be responsible for on-going regulatory compliance consulting services to a diverse client base.  Ideal candidates will have a proven record of providing prompt and considered responses to ad hoc regulatory queries, conducting periodic on-site reviews and undertaking other regulatory projects for our regulated clients, such as hedge funds and private equity firms.  

This position will require taking a lead role on complex projects and in managing client relationships, ensuring high levels of client service, demonstrating technical competence and confidence across a range of compliance areas, and have a key role in the continued development, progression and oversight of a growing team.

Responsibilities will include (but not be limited to):

• Oversee the delivery of day-to-day regulatory consulting services, providing expert advice to clients, an excellent client experience and coordinating internal delivery teams.
• Performing a broad scope of work to largest and most complex clients, guiding, coordinating and consolidating the work of colleagues.
• Managing a book of client relationships and projects proactively, as well as monitoring profitability to manage client projects effectively.
• Identifying, managing and/or supporting special projects and internal initiatives, e.g. drafting articles for industry publications, speaking at external events, participating in sales initiatives, conducting or overseeing research on compliance issues and delivering training presentations.
• Formally supervising, training, evaluating, overseeing, and providing feedback to colleagues in a supervisory and project manager capacity. This will entail careful review of their work and the provision of constructive feedback. Dedicating time to coaching them in their career and technical development, including in respect of client interactions and soft skills.
• Adopting a leading role in key internal management-level working groups.

Qualifications:

• Strong academic background (i.e. degree level, LPC or recognized professional qualification)
• Eight + years of relative industry experience (consulting firm, direct fund, regulatory authority, etc…).
• Expert knowledge across Financial industry regulatory initiatives (FINRA, MSRB, CFTC, SEC, etc…)
• Ability to exercise discretion and make independent judgments commensurate with role.
• Ability to work in a fast-paced small team environment.
• Ability to establish and maintain effective working relationships with colleagues and clients.
• Strong organizational, project management and problem-solving skills.
• Excellent oral and written communication skills. 
• Proficient with Microsoft Office applications and comfortable working in a technology enabled environment