Director - Regulatory Compliance (Private Funds)

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

Director - Regulatory Compliance (Private Funds)

• Full-time
• Department: Client Services
• Type of Hire: Permanent

ABOUT IQ-EQIs a global investor services group with deep expertise in private markets. We support investment managers, asset owners and global businesses with the administration, compliance, governance, data and reporting that their structures depend on. Across 25 jurisdictions, our 6,500+ professionals combine technical strength, connected technology and human understanding – the IQ and the EQ – to free clients from operational complexity and give them the peace of mind to focus on their core business activities. Our IQ is our technical, regulatory and operational expertise, underpinned by data, technology and coordinated global delivery. Our EQ is our human partnership: understanding the business behind the numbers, the culture behind the structures and the individuals behind the screens. With more than US$950 billion of assets under administration, our global client base includes 13 of the world’s top 15 private equity firms* and 19 of the top 25 private debt firms**. One relationship connects our clients to the right expertise as needs evolve, helping them move forward with clarity and confidence, wherever they operate.. To find out more about IQ-EQ visit iqeq.com

This position demands a high level of accuracy, critical thinking, and independent problem-solving, and a strong focus on quality and results. The role involves analyzing complex compliance issues and developing, implementing, and testing compliance programs for clients in the alternative and traditional investment sectors. It requires professionalism, sound judgment, and adaptability to client-driven schedules, while also supporting regulatory exams and outsourced Chief Compliance Officer functions.

What you’ll do

• You’ll independently manage client engagements, providing strategic compliance guidance with minimal oversight from senior leadership
• You’re responsible for ensuring timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures
• 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 compliance issues
• You will help foster a collaborative team culture, mentor junior staff, and support firm‑wide initiatives such as business development and and operational excellence beyond client work

What we offer

• IQ-EQ offers a comprehensive benefits package designed to support employees' well-being and work‑life balance.
• Employees receive generous paid time off, including 4 weeks ofPTO that increases over time, sick time and paid holidays, and financial wellness is supported through a 401(k) plan with a company match (subject to eligibility).
• Health benefits include medical, dental, vision, mental health support and additional ancillary insurance plans.
• Additional benefits include paid parental leave and a hybrid work schedule, promoting both personal and professional fulfillment.
• The salary for this position will be dependent on experience and location ($160,000 - $180,000).

• You bring 10 plus years of compliance experience, ideally from a registered investment adviser, law firm, investment consulting firm, or have practiced law regarding registered investment companies
• You have a strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• You’re familiar with SEC examination practices and preferably have hands‑on experience with both actual and mock exams.
• You understand regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements.
• You’re expected to apply your regulatory knowledge to guide clients effectively and ensure their compliance programs are robust and up to date.

Our commitment to you and the environment

Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long‑term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.

There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.

Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 6,500+ employees - from 94 nationalities, across 25 countries - to each achieve their potential.Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.

We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.