Private Funds Compliance Director | SEC/NFA Expert

Iqeq; Dallas (TX); Hybrid; USD 160,000 - 180,000; Full time

Benefits offered by this job

Paid time off (PTO)

401(k) with company match

Health benefits (medical, dental, etc)

Parental leave

Hybrid work schedule

Job summary

IQ-EQ is seeking a senior Compliance leader in the Dallas area to independently manage client engagements, delivering strategic compliance guidance with minimal oversight from senior leadership.

You will drive timely, accurate deliverables including annual reviews, regulatory filings, and updates to policies. The role includes leading client trainings, mock exams, and hands-on support during SEC and FINRA examinations.

Qualifications

• 10+ years of compliance experience from a registered investment adviser, law firm, investment consulting firm, or related practice.
• Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Familiar with SEC examination practices and hands-on experience with actual and mock exams.
• Understanding regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements.

Responsibilities

• Manage client engagements with minimal oversight from senior leadership.
• Ensure timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies.
• Lead client trainings and mock regulatory exams, providing hands-on support during SEC and FINRA examinations.
• Guide clients in developing internal controls and practical solutions to complex compliance issues.
• Foster a collaborative team culture and support business development and operational excellence beyond client work.

Skills

Compliance leadership

Regulatory knowledge

SEC examinations

Regulatory frameworks (CFTC/NFA/FINRA)

Client advisory

Job description

IQ-EQ is seeking a senior Compliance leader in the Dallas area to independently manage client engagements, delivering strategic compliance guidance with minimal oversight from senior leadership.

You will drive timely, accurate deliverables including annual reviews, regulatory filings, and updates to policies. The role includes leading client trainings, mock exams, and hands-on support during SEC and FINRA examinations.