Associate Director, Regulatory & Compliance

Job Description

JOB DESCRIPTION: ASSOCIATE DIRECTOR, REGULATORY & COMPLIANCE

Office:                  Hyderabad, India

Department:        IQEQ Shared Services Ltd                              

Reports to:           Associate Director

Job Summary

• 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.

Core Responsibilities:

•  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
•  Direct implementation of strategic initiatives and process improvements
•  Ensure regulatory compliance and risk management
•  Establish and monitor team performance metrics
•  Champion technology adoption and process optimization
• Contribute to long-term business strategy and planning
•  Establish performance monitoring frameworks

Tasks:

•  Conduct regular performance reviews and career development discussions
•  Manage escalated client issues and relationships
•  Lead team meetings and performance improvement initiatives
•  Monitor and report on key performance indicators
•  Oversee workload distribution and resource allocation
•  Review and approve staff scheduling and time management
•  Facilitate client review meetings and presentations
• Coordinate with other departments on service delivery
•  Monitor compliance with policies and procedures
•  Lead change management initiatives
•  Review and approve team training plans
•  Oversee system implementation and optmization
•  Conduct regular service delivery reviews
•  Track work progress through timesheet completion 
•  Perform other related duties as assigned for role and business needs

Qualifications

Qualifications:

• 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
•  Demonstrated ability in resource allocation, capacity planning, and budget management
•  Skilled in implementing quality control measures and process standardization initiatives
•  Expert knowledge of accounting principles, policies, and compliance requirements
•  Proven track record of building and maintaining strategic relationships with stakeholders at all levels
•  Proficient in managing complex client relationships and resolving escalated issues
•  Strong experience in developing and implementing continuous improvement initiatives
•  Outstanding communication and interpersonal skills with ability to influence across all organizational levels
•  Results-driven leader with strong analytical and problem-solving capabilities
•  Adaptable and innovative approach to process improvement and change management

Additional Information

OUR COMMITMENT TO YOU AND THE ENVIRONMENT

As a forward-looking business, sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining meaningful, long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.

There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.

Our learning and development programmes and systems enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 6,500+ employees - from 94 nationalities, across 24 countries - to each achieve their potential. Through IQ-EQ Launchpad we support female managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.

We’re committed to growing long-term relationships with our clients and supporting them in achieving their objectives. We understand that our client’s sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.