R. Alex McCoy
Director, Regulatory Compliance @StepStone Group
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WORK HISTORY
Director, Regulatory Compliance @StepStone Group
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
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.
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