Compliance Program Director
6 days ago
IQEQ is a prominent player in the alternative asset industry, serving managers across various capacities.
Job OpportunityKey AspectsThis role demands a high level of professionalism, attention to detail, and results-oriented approach. The individual will be responsible for critical thinking, problem-solving, and analysis.
Responsibilities:- Lead the development, implementation, and maintenance of compliance programs for client engagements.
- Oversee staff in creating and implementing compliance policies and procedures to ensure regulatory compliance.
- Coordinate annual compliance reviews and internal control testing.
- Provide training to clients on regulatory requirements and best practices.
- Register clients with relevant regulatory bodies.
- Support SEC and FINRA exams through mock exams.
- Train staff on firm processes, new regulations, and industry insights.
- Cultivate a collaborative culture and mentor junior staff.
- Deliver practical solutions for regulatory challenges.
- Minimum 15 years of relevant compliance experience.
- Strong knowledge of IA Act of 1940 and ICA of 1940.
- Experience with SEC Exam practices is desired.
- Familiarity with CFTC / NFA and FINRA requirements is a plus.
$230,000 - $280,000 per year, dependent on experience and location. Full benefits package included.
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