Director, Private Funds Compliance & Examinations

Iqeq; San Francisco (CA); Hybride; USD 160 000 - 180 000; Plein temps

Avantages offerts par ce poste

401(k) with company match

Health benefits

Paid time off

Hybrid work schedule

Dental & vision coverage

Résumé du poste

IQ-EQ in San Francisco seeks a seasoned compliance leader to independently manage client engagements and provide strategic guidance on regulatory matters. You will oversee timely completion of deliverables, including annual reviews and filings, while leading trainings and mock exams.

You will stay current with regulatory changes, guide internal controls, mentor junior staff, and support business development and operational excellence across the firm.

Qualifications

• 10+ years of compliance experience.
• Strong knowledge of the Investment Advisers Act and the Investment Company Act.
• Familiarity with SEC examination practices.
• Understanding of CFTC, NFA and FINRA requirements.

Responsabilités

• Independently manage client engagements with strategic compliance guidance.
• Ensure timely, accurate completion of client deliverables like annual reviews and regulatory filings.
• Lead client trainings, mock regulatory exams, and support SEC and FINRA examinations.
• Stay updated on regulatory changes and guide internal controls development.
• Mentor junior staff and support firm-wide initiatives including business development and operations.

Connaissances

Compliance experience

Investment Advisers Act

Investment Company Act

SEC examinations

Regulatory frameworks (CFTC/NFA/FINRA)

Description du poste

IQ-EQ in San Francisco seeks a seasoned compliance leader to independently manage client engagements and provide strategic guidance on regulatory matters. You will oversee timely completion of deliverables, including annual reviews and filings, while leading trainings and mock exams.

You will stay current with regulatory changes, guide internal controls, mentor junior staff, and support business development and operational excellence across the firm.