R. Alex McCoy

About R. Alex McCoy

Risk and compliance executive with broad experience shaping regulatory programs across broker‑dealer, investment adviser, and asset‑management businesses. Career includes leading regulatory change efforts, managing conflicts of interest programs, overseeing complex product and operational risk functions, and serving as an industry speaker on the execution of regulatory obligations and compliant sales enablement. Recognized for building governance structures that enhance commercial effectiveness, strengthen supervisory practices, and help organizations meet evolving regulatory expectations with confidence.

Experience

1. Director, Regulatory Compliance

   StepStone Group

   Jan 2026 — Present

   Responsible for supporting key regulatory compliance obligations with a focus on private markets. Oversees the tracking, review, and implementation of policies, procedures, and controls to ensure alignment with global regulatory requirements. Monitors regulatory developments across major regulators (SEC, CFTC, FINRA, NFA, ESMA, FCA, FINMA, MAS) and translates emerging rules into actionable guidance for the business. Supports risk assessments, conducts compliance testing, and manages the firm’s policy and procedure administration program. Develops training on key compliance topics—including the Code of Ethics, insider‑trading rules, and advertising regulations—and serves as a resource to investment, operations, and client‑facing teams.

Education

• University of Central Florida

  Finance