Director- Regulatory Compliance (Private Funds)

Were a leading Investor Services group offering end-to-end services in administration accounting reporting regulatory and compliance needs of the investment sector worldwide.

As a Director on the Compliance and Regulatory team your schedule will be driven by client needs and deadlines as you support compliance efforts for investment sector clients including regulatory exams and outsourced CCO functions. Youll be expected to maintain professionalism make sound decisions and follow up quickly to correct any mistakes while also delegating responsibilities.

What youll do

• You will independently manage client engagements providing strategic compliance guidance with minimal oversight from senior leadership.
• You will ensure the timely and accurate completion of client deliverables including annual reviews regulatory filings and updates to compliance policies and procedures.
• You will guide clients through mock exams SEC and FINRA exam support and registration processes with regulatory bodies.
• You will lead client trainings monitor regulatory developments and offer practical business-focused solutions to complex compliance challenges. Youll also train internal staff on new regulations and industry trends.
• You will help foster a collaborative team culture mentor junior staff and support firm-wide initiatives such as business development and thought leadership.

What we offer

• IQ-EQ offers a comprehensive benefits package designed to support employees well-being and work-life balance. 
• Employees receive generous paid time off including 20 days of PTO and 7 sick days annually with PTO increasing over time. The company also observes 10 paid holidays each year and financial wellness is supported through a 401(k) plan with a company match (subject to eligibility).
• Health benefits include medical dental vision mental health support and additional ancillary insurance plans. 
• Additional benefits include paid parental leave and a hybrid work schedule promoting both personal and professional fulfilment.
• The salary for this position will be dependent on experience and location ($140000-$160000). 

Qualifications :

• 10 years of relevant compliance experience at a registered investment adviser law firm or investment consulting firm experience practicing law regarding registered investment companies preferred
• Strong working knowledge of the IA Act of 1940 and the ICA of 1940
• Knowledge of SEC Exam practices experience with SEC exams and mock exams preferred
• Knowledge of CFTC / NFA as well as FINRA requirements is a plus

Additional Information :

Our commitment to you and the environment

Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders including our employees clients and local communities while also reducing our impact on our natural environment.  

There is always more we can and should do to improve whether in relation to our people our clients our planet or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. Were committed to fostering an inclusive equitable and diverse culture for our people led by our Diversity Equity and Inclusion steering committee. 

Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees careers while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5800 employees - from 94 nationalities across 25 countries - to each achieve their potential.  Through IQ-EQ Launchpad we support women managers launching their first fund in an environment where only 15% of all private equity and venture capital firms are gender balanced.  

 Were committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients sustainability and success leads to our sustainability and success. Were emotionally invested in our clients right from the beginning.  

Remote Work :

No

Employment Type :

Full-time