Director, Compliance Consulting
Core
Lead compliance consulting engagements to help firms obtain regulatory authorization, navigate the regulatory landscape, and manage ongoing compliance for asset managers and investment firms.
Role type
Director, Compliance Consulting
Builds
Regulatory authorization packages, compliance manuals, policies, client monitoring programmes, and client alerts.
Domain
Financial Services / Regulatory Compliance
Deliverable
client delivery
Required skills
Regulatory compliance expertise, client relationship management, team leadership, project management, thought leadership, process improvement, technology deployment
Preferred skills
Knowledge of US SEC and CFTC requirements
Technologies
Automation tools, new technology tools for process streamlining
Responsibilities
Interact with senior management of firms and regulatory authorities; build and develop client relationships; act as key point of contact for engagement delivery; oversee complex regulatory reviews and projects; lead and mentor a team of VPs, Senior Associates, and Analysts; produce regulatory articles and client alerts; provide technical expertise on FCA regulations and reporting; develop firm intellectual property including compliance manuals and policies; stay abreast of regulatory developments and lead response strategies; manage service delivery for profitability; drive process improvement and automation.
Seniority
Director, strategic leadership and hands-on management