Director, Private Funds Regulatory Compliance (Hybrid)

Iq--e; San Francisco (CA); Hybrid; USD 160,000 - 180,000; Full time

Benefits offered by this job

4 weeks PTO

401(k) plan with company match

Health, dental, vision, mental health

Hybrid work schedule

Parental leave

Job summary

IQ-EQ in San Francisco seeks a Director - Regulatory Compliance (Private Funds) to lead complex compliance programs for private funds and traditional investments. You will analyze issues, develop, implement, and test programs, and support regulatory exams with a focus on accuracy and quality.

You’ll manage client engagements with minimal oversight, ensure timely deliverables, lead trainings and mock exams, mentor junior staff, and contribute to firm initiatives.

Qualifications

• You bring 10+ years of compliance experience, ideally from a registered investment adviser, law firm, investment consulting firm, or have practiced law regarding registered investment companies.
• Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Familiar with SEC examination practices and hands‑on experience with actual and mock exams.
• Understand regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements.
• Apply regulatory knowledge to guide clients and ensure robust compliance programs.

Responsibilities

• Independently manage client engagements, providing strategic compliance guidance with minimal oversight from senior leadership.
• Ensure timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures.
• Lead client trainings, mock regulatory exams, and provide hands‑on support during SEC and FINRA examinations.
• Stay on top of regulatory changes, guide clients in developing internal controls, and offer practical solutions to complex compliance issues.
• Foster a collaborative team culture, mentor junior staff, and support firm‑wide initiatives such as business development and operational excellence beyond client work.

Job description

IQ-EQ in San Francisco seeks a Director - Regulatory Compliance (Private Funds) to lead complex compliance programs for private funds and traditional investments. You will analyze issues, develop, implement, and test programs, and support regulatory exams with a focus on accuracy and quality.

You’ll manage client engagements with minimal oversight, ensure timely deliverables, lead trainings and mock exams, mentor junior staff, and contribute to firm initiatives.