Director - Regulatory Compliance (Private Funds)

About the role

A global investor services group with deep expertise in private markets. We support investment managers, asset owners and global businesses with the administration, compliance, governance, data and reporting that their structures depend on. Across 25 jurisdictions, our 6,500+ professionals combine technical strength, connected technology and human understanding – the IQ and the EQ – to free clients from operational complexity and give them the peace of mind to focus on their core business activities. Our IQ is our technical, regulatory and operational expertise, underpinned by data, technology and coordinated global delivery. Our EQ is our human partnership: understanding the business behind the numbers, the culture behind the structures and the individuals behind the screens. With more than US$950 billion of assets under administration, our global client base includes 13 of the world’s top 15 private equity firms* and 19 of the top 25 private debt firms**. One relationship connects our clients to the right expertise as needs evolve, helping them move forward with clarity and confidence, wherever they operate. To find out more about IQ-EQ visit iqeq.com. This position demands a high level of accuracy, critical thinking, and independent problem-solving, and a strong focus on quality and results. The role involves analyzing complex compliance issues and developing, implementing, and testing compliance programs for clients in the alternative and traditional investment sectors. It requires professionalism, sound judgment, and adaptability to client-driven schedules, while also supporting regulatory exams and outsourced Chief Compliance Officer functions.

Responsibilities

• Independently manage client engagements, providing strategic compliance guidance with minimal oversight from senior leadership
• Responsible for ensuring timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures
• Lead client trainings, mock regulatory exams, and provide hands-on support during SEC and FINRA examinations
• Stay on top of regulatory changes, guide clients in developing internal controls, and offer practical solutions to complex compliance issues
• Help foster a collaborative team culture, mentor junior staff, and support firm-wide initiatives such as business development and operational excellence beyond client work

Qualifications

• 10 plus years of compliance experience, ideally from a registered investment adviser, law firm, investment consulting firm, or have practiced law regarding registered investment companies
• Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
• Familiar with SEC examination practices and preferably have hands-on experience with both actual and mock exams
• Understand regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements
• Expected to apply your regulatory knowledge to guide clients effectively and ensure their compliance programs are robust and up to date

Benefits

• Generous paid time off, including 4 weeks of PTO that increases over time, sick time and paid holidays
• Financial wellness 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
• Paid parental leave
• Hybrid work schedule

Pay

The salary for this position will be dependent on experience and location ($160,000 - $180,000).