Posted in: Other in Dallas | Posted: |
Job Description
Managing Director
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 firms
Oversee staff in the development and implementation of compliance policies and procedures – taking a proactive approach to ensuring policies are implemented
Lead annual compliance reviews and internal control testing
Lead onsite training to clients regarding regulatory requirements and best practices
Register clients as broker-dealers or investment advisers with the appropriate regulatory bodies
Lead in conducting mock regulatory exams as well as assist in providing SEC and FINRA exam support
Train staff on firm processes, new regulations or takeaways from industry events as well as oversee the development of internal training materials
Cultivate a culture of community and lead and coach junior staff
Proactively provide practical, business friendly solutions for esoteric regulatory issues
Contribute to company initiatives outside of client engagement management, such as business development, staff management or subject matter expertise
Contribute to special projects and firm initiatives