Director - Regulatory Compliance (Private Funds)

IQ-EQ•San Francisco, NY

4d•Hybrid

About The Position

The Director - Regulatory Compliance (Private Funds) role provides strategic compliance guidance to clients in the alternative and traditional investment sectors. The position involves analyzing complex compliance issues and developing, implementing, and testing compliance programs. It requires accuracy, critical thinking, independent problem-solving, sound judgment, adaptability to client-driven schedules, and a focus on quality and results. The Director also supports regulatory examinations and outsourced Chief Compliance Officer functions. The Director independently manages client engagements with minimal oversight from senior leadership, ensures client deliverables are completed accurately and on time, leads client training and mock examinations, and provides hands-on support during SEC and FINRA examinations. The role also involves monitoring regulatory changes, helping clients develop internal controls, mentoring junior staff, and contributing to business development and operational excellence initiatives. IQ-EQ is a global investor services group supporting investment managers, asset owners, and global businesses across 25 jurisdictions. It has more than 6,500 professionals and more than US$950 billion in assets under administration.

Requirements

10 or more years of compliance experience.
Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
Familiarity with SEC examination practices.
Ability to apply regulatory knowledge to guide clients and ensure compliance programs are robust and up to date.

Nice To Haves

Compliance experience at a registered investment adviser, law firm, or investment consulting firm, or legal practice involving registered investment companies.
Hands-on experience with actual and mock examinations.
Understanding of regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements.

Responsibilities

Independently manage client engagements and provide strategic compliance guidance with minimal oversight from senior leadership.
Ensure timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures.
Lead client trainings and mock regulatory examinations, and provide hands-on support during SEC and FINRA examinations.
Monitor regulatory changes and guide clients in developing internal controls and practical solutions to complex compliance issues.
Mentor junior staff and foster a collaborative team culture.
Support firm-wide initiatives, including business development and operational excellence.