Director, Private Funds Compliance & Regulatory Exams

IQ-EQ; Chicago (IL); Hybride; USD 160 000 - 180 000; Plein temps

Avantages offerts par ce poste

Health benefits

401(k) with company match

Hybrid work schedule

Paid time off

Résumé du poste

IQ-EQ in Chicago seeks a Director of Regulatory Compliance for Private Funds to lead complex compliance programs and advise clients across the investment spectrum. The role focuses on ensuring robust compliance, preparing for and supporting regulatory exams, and delivering practical solutions to regulatory challenges.

The position requires 10+ years in compliance,深入 knowledge of the Advisers and Company Acts, and hands-on SEC, CFTC, NFA, and FINRA experience.

Qualifications

• 10+ years of compliance experience in investment management or related fields.
• Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Familiar with SEC examination practices and experience with actual and mock exams.
• Understanding of regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA.

Responsabilités

• Independently manage client engagements with strategic compliance guidance.
• Ensure timely and accurate completion of deliverables including annual reviews and regulatory filings.
• Lead client trainings, mock regulatory exams, and support during SEC and FINRA examinations.
• Stay updated on regulatory changes and guide internal controls for clients.
• Foster a collaborative team culture and support firm-wide initiatives.

Connaissances

Compliance experience

Regulatory knowledge

SEC exam familiarity

Regulatory frameworks

Description du poste

IQ-EQ in Chicago seeks a Director of Regulatory Compliance for Private Funds to lead complex compliance programs and advise clients across the investment spectrum. The role focuses on ensuring robust compliance, preparing for and supporting regulatory exams, and delivering practical solutions to regulatory challenges.

The position requires 10+ years in compliance,深入 knowledge of the Advisers and Company Acts, and hands-on SEC, CFTC, NFA, and FINRA experience.