Director - Hybrid Private Funds Compliance & Regulatory Strategy

IQ-EQ; New York (NY); On-site; USD 160,000 - 180,000; Full time

Benefits offered by this job

4 weeks PTO

Sick time and paid holidays

401(k) plan with company match

Health benefits

Job summary

IQ-EQ is seeking a Director - Regulatory Compliance (Private Funds) in New York. The role focuses on analyzing complex compliance issues and developing, implementing, and testing compliance programs for private funds and traditional investments.

You will lead client engagements, provide strategic guidance, and support regulatory exams while mentoring junior staff. With 10+ years of experience, you’ll navigate the Investment Advisers Act and related rules, ensuring robust programs.

Qualifications

• You bring 10 plus years of compliance experience from investment management or related firms.
• You have strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• You are familiar with SEC examination practices and hands-on experience with actual and mock exams.
• You understand regulatory frameworks beyond the SEC including CFTC, NFA, and FINRA.
• You apply regulatory knowledge to guide clients and ensure robust compliance programs.

Responsibilities

• You’ll independently manage client engagements, providing strategic compliance guidance with minimal oversight from senior leadership.
• You’re responsible for timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to policies.
• You will lead client trainings, mock regulatory exams, and provide hands-on support during SEC and FINRA examinations.
• You’ll stay on top of regulatory changes, guide clients in developing internal controls, and offer practical solutions to complex issues.
• You will foster a collaborative team culture, mentor junior staff, and support firm-wide initiatives like business development and operational excellence.

Skills

Compliance experience

Regulatory program development

SEC examinations

Staff mentorship

Client engagements

Job description

IQ-EQ is seeking a Director - Regulatory Compliance (Private Funds) in New York. The role focuses on analyzing complex compliance issues and developing, implementing, and testing compliance programs for private funds and traditional investments.

You will lead client engagements, provide strategic guidance, and support regulatory exams while mentoring junior staff. With 10+ years of experience, you’ll navigate the Investment Advisers Act and related rules, ensuring robust programs.