Private Funds Compliance Director — Regulatory Strategy

IQ-EQ; Dallas (TX); Hybride; USD 160 000 - 180 000; Plein temps

Avantages offerts par ce poste

PTO / holidays

401(k) with company match

Health benefits

Hybrid work schedule

Parental leave

Résumé du poste

IQ-EQ, a global investor services group, is seeking a Director - Regulatory Compliance (Private Funds) in a senior, client-facing capacity. The role emphasizes independent problem-solving, accuracy, and the development and testing of compliance programs for clients in both private and traditional investment sectors.

You will guide clients on the Investment Advisers Act of 1940 and the Investment Company Act of 1940, support regulatory exams, and mentor junior staff while aligning with firm-wide

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.
• Familiarity with SEC examination practices and mock exams preferred.
• Understanding of CFTC, NFA, and FINRA requirements.

Responsabilités

• Manage client engagements with minimal oversight from senior leadership.
• Ensure timely, accurate completion of deliverables (annual reviews, filings, policy updates).
• Lead client trainings and support during SEC/FINRA examinations.

Connaissances

Regulatory compliance

SEC/FINRA knowledge

Leadership & mentoring

Client engagements

Problem solving

Description du poste

IQ-EQ, a global investor services group, is seeking a Director - Regulatory Compliance (Private Funds) in a senior, client-facing capacity. The role emphasizes independent problem-solving, accuracy, and the development and testing of compliance programs for clients in both private and traditional investment sectors.

You will guide clients on the Investment Advisers Act of 1940 and the Investment Company Act of 1940, support regulatory exams, and mentor junior staff while aligning with firm-wide