Director- Regulatory Compliance (Private Funds)

IQ-EQ
New York, NY
Category Finance
Job Description
IQ-EQ is seeking a Director of Regulatory Compliance to analyze complex compliance issues, develop and implement compliance programs for clients in the investment sector, and provide training on SEC and FINRA exams. This role involves strategic guidance, client engagements, regulatory updates, and team leadership. The position requires accuracy, critical thinking, and a commitment to quality and results.

Requirements

  • 10+ years of compliance experience, ideally from a registered investment adviser.
  • Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
  • Familiarity with SEC examination practices and hands-on experience with exams.
  • Understanding of regulatory frameworks beyond the SEC (CFTC, NFA, FINRA).

Benefits

  • Health benefits
  • Paid parental leave
  • Hybrid work schedule
  • 401(k) plan
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