Director, Private Funds Regulatory Compliance

Iq--e; New York (NY); Hybrid; USD 160,000 - 180,000; Full time

Benefits offered by this job

PTO with accrual increase

401(k) with company match

Health insurance (medical, dental, vis

Hybrid work schedule

Parental leave

Job summary

IQ-EQ in New York seeks a Director of Regulatory Compliance (Private Funds) with 10+ years of compliance experience to lead client engagements, develop and test compliance programs, and support regulatory exams. The role requires deep knowledge of U.S.

investment advisory laws and cross‑border frameworks, with a focus on accuracy and quality. The position offers a hybrid work schedule, competitive benefits, and a salary range reflecting experience and location.

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; experience with actual and mock exams preferred.
• Understanding of CFTC, NFA, and FINRA requirements beyond the SEC.

Responsibilities

• Independently manage client engagements with minimal senior leadership oversight.
• Ensure timely, accurate completion of deliverables: annual reviews, regulatory filings, policy updates.
• Lead client trainings and mock regulatory exams; provide hands-on support during SEC/FINRA examinations.
• Monitor regulatory changes; guide clients in internal control development and compliance improvements.
• Foster collaboration, mentor junior staff, support business development and operational excellence.

Skills

Regulatory expertise

Policy development

Training and mock exams

SEC exam experience

Regulatory frameworks knowledge

Job description

IQ-EQ in New York seeks a Director of Regulatory Compliance (Private Funds) with 10+ years of compliance experience to lead client engagements, develop and test compliance programs, and support regulatory exams. The role requires deep knowledge of U.S.

investment advisory laws and cross‑border frameworks, with a focus on accuracy and quality. The position offers a hybrid work schedule, competitive benefits, and a salary range reflecting experience and location.