Associate Director, Regulatory Reporting

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Skills you'll use

What you'll do

• A leadership position responsible for driving operational excellence and team performance within the Regulatory & Compliance. This role manages a team of operations professionals, oversees complex
• client relationships and ensures delivery of high-quality Regulatory & Compliance services. The position focuses on
• people management and operational efficiency while maintaining overall accountability for team
• performance and client satisfaction.
•  Lead and develop a team of middle office operations professionals
•  Drive operational performance and quality standards
•  Build and manage cluster and client relationships and service delivery
•  Oversee resource allocation and capacity planning

Who can apply

• Bachelor’s degree in accounting, Business Administration
•  Advanced degree (e.g., MBA) is an advantage
•  15 years of progressive experience in financial services or client operations, with at least 5-7 years in senior leadership roles.
• Relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred.
•  Strong working knowledge of the IA Act of 1940 and the ICA of 1940
•  Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred
•  Knowledge of CFTC / NFA as well as FINRA requirements is a plus.
• Skills and Key Behaviours: In addition to upholding our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:
•  Expert in leading and developing high-performing teams through effective coaching and performance management
•  Strong proficiency in establishing and monitoring operational KPIs to drive team excellence and efficiency 2

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