Associate Director, Regulatory & Compliance

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:

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