Compliance Program Director

6 days ago


New York, New York, United States IQ-EQ Full time
Company Profile

IQEQ is a prominent player in the alternative asset industry, serving managers across various capacities.

Job OpportunityKey Aspects

This 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.
Requirements
  • 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.
Remuneration

$230,000 - $280,000 per year, dependent on experience and location. Full benefits package included.



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