Senior Director, Private Funds Compliance & Strategy

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

Benefits offered by this job

PTO

Sick time

Holidays

401(k) with match

Health benefits

Hybrid schedule

Job summary

IQ-EQ is seeking an experienced compliance professional to independently manage client engagements, delivering strategic guidance on regulatory obligations with minimal oversight. You will ensure timely, accurate deliverables, including annual reviews, filings, and policy updates.

You will lead client trainings, support during SEC and FINRA examinations, develop internal controls, and mentor junior staff while collaborating on business development and operational excellence across the firm.

Qualifications

• 10+ years of compliance experience in financial services or related field.
• Strong knowledge of Investment Advisers Act of 1940 and Investment Company Act of 1940.
• Hands-on experience with SEC examinations and mock exams preferred.

Responsibilities

• Manage client engagements with strategic compliance guidance.
• Ensure timely, accurate completion of deliverables: annual reviews, filings, policy updates.
• Lead client trainings and provide hands-on support during SEC/FINRA examinations.
• Stay updated on regulatory changes and develop robust internal controls.
• Mentor junior staff and support firm-wide initiatives like business development and operations.

Skills

Regulatory compliance

Client management

Training & mentoring

SEC/FINRA knowledge

CFTC/NFA knowledge

Policy development

Job description

IQ-EQ is seeking an experienced compliance professional to independently manage client engagements, delivering strategic guidance on regulatory obligations with minimal oversight. You will ensure timely, accurate deliverables, including annual reviews, filings, and policy updates.

You will lead client trainings, support during SEC and FINRA examinations, develop internal controls, and mentor junior staff while collaborating on business development and operational excellence across the firm.