Senior Director, Private Funds Regulatory Compliance

Iqeq

Chicago (IL)

Hybrid

USD 160.000 - 180.000

Vollzeit

Vor 6 Tagen

Sei unter den ersten Bewerbenden

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Benefits dieser Stelle

4 weeks PTO plus increases with tenure

401(k) with company match

Health, dental, vision, mental health

Parental leave

Hybrid work schedule

Zusammenfassung

IQ-EQ is seeking a seasoned compliance professional in Chicago to independently manage client engagements, delivering strategic guidance with minimal oversight. You will ensure timely, accurate deliverables such as annual reviews and regulatory filings, and lead trainings and mock exams during SEC and FINRA examinations.

You will stay abreast of regulatory changes, guide clients in building internal controls, and mentor junior staff while supporting firm-wide initiatives including business

Qualifikationen

10+ years of compliance experience in investment-related firms.
In-depth knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
Experience with SEC examinations and regulatory change management.

Aufgaben

Independently manage client engagements with strategic compliance guidance.
Ensure timely completion of deliverables, including annual reviews and regulatory filings.
Lead client trainings, mock exams, and support during SEC/FINRA examinations.
Monitor regulatory changes and develop robust internal controls for clients.
Mentor junior staff and support firm‑wide initiatives like business development.

Kenntnisse

Regulatory compliance

SEC/FINRA examination

Regulatory frameworks

Mentoring

Jobbeschreibung