Director, Private Funds Compliance – Hybrid Role

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

Benefits offered by this job

401(k) match

PTO 4 weeks

Health benefits

Hybrid work schedule

Job summary

IQ-EQ is seeking a senior compliance professional to lead client engagements, deliver strategic regulatory guidance, and ensure high-quality deliverables in the investment adviser and private markets space.

You will train clients, run mock exams, and support SEC and FINRA examinations, while staying current on evolving regulations and internal controls. A hybrid work model and compensation aligned with experience are offered.

Qualifications

• Deep knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Experience with SEC examination practices and mock exams is preferred.
• Understanding regulatory frameworks beyond the SEC (CFTC, NFA, FINRA).

Responsibilities

• Manage client engagements with minimal senior oversight and provide strategic compliance guidance.
• Ensure timely, accurate client deliverables including annual reviews and regulatory filings.
• Lead client trainings, mock regulatory exams, and support during SEC and FINRA examinations.
• Stay updated on regulatory changes and develop internal controls with practical solutions.
• Mentor junior staff and support firm-wide initiatives like business development and operational excellence.

Skills

Investment Advisers Act knowledge

SEC examination knowledge

CFTC/NFA/FINRA knowledge

Job description

IQ-EQ is seeking a senior compliance professional to lead client engagements, deliver strategic regulatory guidance, and ensure high-quality deliverables in the investment adviser and private markets space.

You will train clients, run mock exams, and support SEC and FINRA examinations, while staying current on evolving regulations and internal controls. A hybrid work model and compensation aligned with experience are offered.