Director Regulatory Compliance - RIA
: Job Details :

We are partnered with investment advisory business with a focus on infrastructure equity and debt strategies who are looking to scale up their Regulatory Compliance team with an additional member, reporting directly into the Americas CCO.

The role requires deep RIA compliance expertise, strong regulatory knowledge, and the ability to partner with investment and operational teams in a dynamic, global environment. Experience with broker-dealer compliance is a plus.

Key Responsibilities:

• Serve as a senior compliance advisor to the firm's infrastructure investment teams, with a primary focus on private equity and private credit strategies
• Develop, implement, and maintain compliance policies and procedures in line with SEC regulations and global best practices
• Provide guidance on regulatory matters related to marketing, conflicts of interest, personal trading, valuations, and allocation practices
• Monitor regulatory developments (e.g., SEC, FINRA, global equivalents) and assess their impact on the business
• Oversee compliance testing and surveillance for the RIA business, including support for the annual review and Form ADV updates
• Collaborate with legal, operations, and risk teams to ensure cohesive oversight and issue resolution
• Contribute to training and awareness initiatives across the organization
• Support broker-dealer activities as needed, including policies, supervisory procedures, and trade surveillance

Qualifications:

• Minimum 10 years of experience in a compliance advisory role within a registered investment adviser
• Deep understanding of infrastructure investment products, including equity and debt
• Sound knowledge of the Investment Advisers Act of 1940 and related U.S. regulations
• Experience supporting private funds and institutional clients
• Tertiary qualifications in law, finance, economics, accounting, or a related field
• FINRA Series 7, 24 and/or 14 licenses a plus

Base salary is $200,000 - 220,000.

Seniority level

• Seniority levelMid-Senior level

Employment type

• Employment typeFull-time

Job function

• Job functionFinance

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