Director, Private Funds Compliance | Hybrid Benefits

IQ-EQ; San Francisco (CA); Hybrid; USD 160,000 - 180,000; Full time

Benefits offered by this job

401(k) match

Health benefits

PTO 4 weeks

Parental leave

Hybrid work schedule

Job summary

IQ-EQ is seeking a Director of Regulatory Compliance (Private Funds) to lead client engagements, develop and test compliance programs, and support regulatory exams in a global, hybrid environment.

The role requires 10+ years in compliance, deep knowledge of US securities laws, and the ability to deliver strategic guidance with minimal oversight. Candidates should be prepared to manage complex issues and mentor staff in a collaborative setting.

Qualifications

• 10+ years of compliance experience in investment management or related field.
• Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Experience with SEC examinations and mock/actual exams.
• Familiarity with CFTC, NFA, and FINRA requirements.

Responsibilities

• Manage client engagements with strategic compliance guidance.
• Ensure timely, accurate completion of deliverables (annual reviews, regulatory filings, policies).
• Lead client trainings, mock regulatory exams, and support during SEC/FINRA exams.
• Guide clients on internal controls and regulatory changes; implement practical solutions.

Skills

Regulatory compliance

Stakeholder management

Job description

IQ-EQ is seeking a Director of Regulatory Compliance (Private Funds) to lead client engagements, develop and test compliance programs, and support regulatory exams in a global, hybrid environment.

The role requires 10+ years in compliance, deep knowledge of US securities laws, and the ability to deliver strategic guidance with minimal oversight. Candidates should be prepared to manage complex issues and mentor staff in a collaborative setting.